16-01788 | 06/30/2017 | Claimant(s): Ryan Flynn Claimant Lawyers(s): Kristopher P Diulio Respondent(s): Edward Jones Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Harvey C. Flodin, Robert B. Hansohn, Gregory Douglas Stone Hearing Site: Los Angeles, CA
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15-02368 | 12/06/2016 | Claimant(s): Theodore Zimbelman Claimant Lawyers(s): Charles H. Field Respondent(s): National Securities Corporation, Kyle Harrington Respondent Lawyers(s): David A. Schrader, Elizabeth Lowery Arbitrator(s): Harvey C. Flodin, Lawrence Alexander Huerta, Shawn Michael Spaulding Hearing Site: San Diego, CA
| | $155,000 |
13-02852 | 04/28/2015 | Claimant(s): Corinne Fond Claimant Lawyers(s): Jonah A. Toleno Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Respondent Lawyers(s): Andrew R. Livingston Arbitrator(s): Harvey C. Flodin, Mark R. Lee, Jo-Ann C. Little Hearing Site: San Diego, CA
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12-02099 | 11/12/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Paul T. Cahill Respondent(s): Cletus Emeziem Respondent Lawyers(s): Cletus Enyinia Emeziem Arbitrator(s): Harvey C. Flodin, Deana S. Peck, John Edward Perry Hearing Site: Phoenix, AZ
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13-00430 | 06/11/2014 | Claimant(s): Agnes Barrelet, Agnes Barrelet IRA, Agnes Barrelet Trust dated 10/09/2009 Claimant Lawyers(s): G. Mark Brewer Respondent(s): Christopher Taylor, NFP Securities. Respondent Lawyers(s): Alexis Lu, Brandon S. Reif Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, Michael D. Briggs Hearing Site: San Diego, CA
| | $1,246,160 |
13-00128 | 10/22/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Tim Grubb Respondent(s): David Lee Respondent Lawyers(s): David Robert Lee Arbitrator(s): Harvey C. Flodin Hearing Site: San Diego, CA
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11-00396 | 07/18/2013 | Claimant(s): John Ray, Cherry Road Investors 9 Claimant Lawyers(s): Kevin J. Deloatch Respondent(s): MCL Financial Group., Estate of Michael Byrum Upton Respondent Lawyers(s): Estate of Michael Byrum Upton, Lawrence Singleton Arbitrator(s): Harvey C. Flodin, James J. Dobbin, Sally G. Williams Hearing Site: San Diego, CA
| | $850,005 |
12-02264 | 05/20/2013 | Claimant(s): Lee Tripodi Claimant Lawyers(s): Robert L. Hill Respondent(s): Torrey Pines Securities. Respondent Lawyers(s): Michael W. Jacobs Arbitrator(s): Harvey C. Flodin, Brett W. Everhart, Nancy J. Spieczny Hearing Site: San Diego, CA
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12-02095 | 04/12/2013 | Claimant(s): Mark Robbins Claimant Lawyers(s): Mark Robbins Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Christopher S. Griesmeyer Arbitrator(s): Harvey C. Flodin Hearing Site: San Diego, CA
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12-01065 | 02/26/2013 | Claimant(s): Paul Kroell Claimant Lawyers(s): Paul Gerrit Kroell Respondent(s): Bill Gregg, Jamie Meronoff, Scottrade Inc., Edward Jones Respondent Lawyers(s): Dennis J. Capriglione, Niels P. Murphy Arbitrator(s): Harvey C. Flodin, David G Sear, Mitchell Lee Lathrop Hearing Site: San Diego, CA
| | Expungement |