| 19-01360 | 11/22/2019 | Claimant(s): Terrance Arges
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Steven A. Fox, Mitchell Lee Lathrop, Dan Deuprey
Hearing Site: San Diego, CA
| | |
| 15-03376 | 10/31/2016 | Claimant(s): Kevin Meyer
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Michael T. West
Arbitrator(s): Mark R. Lee, Katherine Jane Morris, Steven A. Fox
Hearing Site: San Diego, CA
| | |
| 10-05727 | 06/04/2012 | Claimant(s): Donald Brown
Claimant Lawyers(s): Mary C. Scott-Hattendorf
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S Fruin
Arbitrator(s): Thomas Erique DuVoisin, Steven A. Fox, Thomas L. Marshall
Hearing Site: San Diego, CA
|  | $622,000 |
| 07-02318 | 03/25/2010 | Claimant(s): William Erickson
Claimant Lawyers(s): Daniel O. Stamm
Respondent(s): Joe Woods
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): J. A. Dutcher, Richard G. Link, Steven A. Fox
Hearing Site: San Diego, CA
| | |
| 09-00588 | 02/02/2010 | Claimant(s): Alan Yaghdjian, Mireille Yaghdjian
Claimant Lawyers(s): Kenneth H. Stone
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Lester G. Stiel, Guenter S. Cohn, Steven A. Fox
Hearing Site: San Diego, CA
| | $0 |
| 08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs
Hearing Site: San Diego, CA
| | $327,245 |
| 07-02717 | 11/20/2008 | Claimant(s): Kathryn Chapman, Ronald May
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Michael McClellanL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): Michael H. McClellan, Michael L. Kirby
Arbitrator(s): Joel C. Estes, Greta Glavis, Steven A. Fox
Hearing Site: San Diego, CA
| | $1,800,000 |
| 07-00803 | 04/04/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Dennis Capriglione
Respondent(s): Thomas McGowan
Respondent Lawyers(s): Thomas Joseph McGowan
Arbitrator(s): Kenneth E. Owen, Michael D. Harrison, Steven A. Fox
Hearing Site: Los Angeles, CA
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