| 19-03145 | 09/10/2021 | Claimant(s): Wilgus Family Survivors Trust
Claimant Lawyers(s): Jeffrey K. Wilgus
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Herbert Liberman, Katherine Jane Morris, Helen W. Kinnaird
Hearing Site: San Diego, CA
|  | Dismissed by Rule 12504(b) |
| 15-01927 | 02/04/2019 | Claimant(s): Dolan Family Trust Account
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brian Hagerman, John Vaughan
Respondent Lawyers(s): Brian Joseph Hagerman, John Joseph Vaughan
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Dismissed by Rule 12601(c) |
| 15-03485 | 06/05/2017 | Claimant(s): Alicia Mapes, Gordon Mapes, Gordon M. Mapes and Alicia K. Mapes Livi
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Ryan Bowers
Respondent Lawyers(s): Vincent D. Slavens
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Kevin K. Forrester
Hearing Site: San Diego, CA
| | $0 |
| 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
| | |
| 12-03679 | 04/08/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Brent Lowe
Respondent Lawyers(s): Brent W. Lowe
Arbitrator(s): Katherine Jane Morris, Mandel E. Himelstein, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 10-01665 | 11/27/2012 | Claimant(s): Sharda Motwani, Virumal Motwani
Claimant Lawyers(s): Virumal Motwani
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Katherine Jane Morris, Evan A. Gould, Seth Schwartz
Hearing Site: San Diego, CA
| | Expungement |
| 11-02504 | 02/10/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Evelyn C. Best
Respondent(s): The Macaluso Family Trust dd 9/25/1995
Respondent Lawyers(s): Leo Macaluso
Arbitrator(s): Mark R. Lee, Lauren Litman, Katherine Jane Morris
Hearing Site: San Diego, CA
| | Expungement |
| 10-04494 | 10/07/2011 | Claimant(s): Gene Hedlund, Janice Hedlund, Odyssey 2000-Friar's Branch Crossing, Gene A. Hedlund IRA, Janice M. Hedlund IRA, Odyssey 2000 Rev Trust dtd 8/14/1989
Claimant Lawyers(s): A. Thomas Tenenbaum, Richard A. Nervig
Respondent(s): John Lauer, Waveland Capital Partners LLC
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Sidney Jacobsen, Guenter S. Cohn, Katherine Jane Morris
Hearing Site: San Diego, CA
| | $0 |
| 10-01448 | 04/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): David Lynn
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): William L. Merkin, Jo-Ann C. Little, Katherine Jane Morris
Hearing Site: San Diego, CA
| | |
| 09-00492 | 09/30/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Dana Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Katherine Jane Morris
Hearing Site: San Diego, CA
| | |
