| 18-02167 | 12/13/2018 | Claimant(s): Raymond Lucia
Claimant Lawyers(s): Robert Moses
Respondent(s): Lucia Securities, Llc
Respondent Lawyers(s): Viktoria Palermo CCO
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 18-01117 | 11/14/2018 | Claimant(s): Frank Cuenca
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network, Llc
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 16-03605 | 08/24/2018 | Claimant(s): Kathy Wookey, Thomas Wookey
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): John Lowry, Robert Murray, Spartan Capital Securities, Llc
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Paul H. Lamboley, Danielle L. Anderson, Dee Maresso-Newell
Hearing Site: Rapid City, SD
|  | $330,425 |
| 16-01450 | 01/05/2018 | Claimant(s): Donna Gambee
Claimant Lawyers(s): Charles H. Field
Respondent(s): David Barber, Madison Avenue Securities, Llc
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Deanna J. Johnson, Janice L. Sperow, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | $1,945,400 |
| 16-00917 | 05/02/2017 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Dudley Dupuis, Wells Fargo Advisors, Llc
Respondent Lawyers(s): Victor Hayslip
Arbitrator(s): Steven P. Gregory, Mark A. Myers, James L. Warren
Hearing Site: Birmingham, AL
| | |
| 12-02734 | 06/09/2014 | Claimant(s): Kaylyn Kelsey Kerr 1989 Trust, Kaylyn Kerr Irrevocable Trust
Claimant Lawyers(s): Bryan Forman
Respondent(s): Donald Donahue, John Mahoney, Suzanne Gavin, 1st Worldwide Financial Partners, Llc
Respondent Lawyers(s): John F. Mahoney, Michael Schwartzberg, Suzanne Gavin Mahoney
Arbitrator(s): William E. Hartsfield, Robert L. Chisolm, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | Expungement |
| 12-00961 | 12/20/2013 | Claimant(s): Clocktower Tax Credits LLC, Northeast Securities.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Vert Investment Group, Vert Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | |
| 11-03923 | 05/24/2013 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Keith Steidle
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Yvonne F. Rocco, S. Charles Tabak, Jay Alan Kranis
Hearing Site: Newark, NJ
| | |
| 10-04481 | 03/15/2013 | Claimant(s): Frank Tsuru, Stephanie Tsuru
Claimant Lawyers(s): Scott D. Marrs
Respondent(s): Brodie Cobb, Colin Carter, Jerome Deren, Julie Helwig, Presidio Capital Advisors, Llc, Presidio Financial Partners, L.L.C., Presidio Wealth Management
Respondent Lawyers(s): Jennifer Evans Morris
Arbitrator(s): Linda Broocks, David G. Beerbower, Arno C. Schwethelm
Hearing Site: Houston, TX
| | Expungement |
| 12-01392 | 11/30/2012 | Claimant(s): David Chow
Claimant Lawyers(s): David Chow
Respondent(s): Wells Fargo Advisors, Llc
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
