| 19-01508 | 09/27/2021 | Claimant(s): Diane Mindrum
Claimant Lawyers(s): James P Lucking
Respondent(s): David Wolfe, Aaron Capital Incorporated
Respondent Lawyers(s): James E. Bingham
Arbitrator(s): Daniel A. Seiver, Mark T Risner, Arnold Edward Landsman
Hearing Site: Los Angeles, CA
|  | $178,814 |
| 19-02998 | 10/14/2020 | Claimant(s): Teresa Valdez, Teresa Valdez IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Alan Stamm, Susan B. Gans-Smith, Daniel A. Seiver
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 18-01826 | 05/08/2019 | Claimant(s): Pablo Vaquera
Claimant Lawyers(s): Pablo Raul Vaquera
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Daniel A. Seiver, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | |
| 15-00524 | 08/04/2017 | Claimant(s): Bradley Sayre
Claimant Lawyers(s): Kevin Mirch
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): James Paul Estes, Brian Boru Torsney, Daniel A. Seiver
Hearing Site: San Diego, CA
| | |
| 14-02077 | 11/23/2015 | Claimant(s): John Haas, Kathy Haas, NNN Parkway Corporate Plaza 5
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Sagepoint Financial., Peter Shusterman
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Mary Elizabeth Geerdes, Daniel A. Seiver, Randall Brian Christison
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 09-05650 | 09/20/2010 | Claimant(s): Martha Campbell, Martha C. Campbell Rollover IRA
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Kevin Williams, Asset Management Strategies, North Global Securities., North Wealth Management Company
Respondent Lawyers(s): A. Kipp Williams, Kevin A. Williams
Arbitrator(s): Lester G. Stiel, John Goodrich, Daniel A. Seiver
Hearing Site: San Diego, CA
| | $641,050 |
