| 12-00068 | 01/31/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Avelino Cortina
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, Jo-Ann C. Little
Hearing Site: San Diego, CA
| | |
| 12-01002 | 01/17/2013 | Claimant(s): Diane Miller, Ilene Willsey, Kathleen Schwab, Skoff North Park II LLC, Skoff Olympic Gateway Parkway LLC, Skoff Sunriver LLC, Skoff-One Hanover, Estate of Ray Skoff, Ray Skoff Trust
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): Sentra Securities Corporation
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, E. Milton Frosburg
Hearing Site: San Diego, CA
|  | $0 |
| 11-02448 | 12/07/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Francisco Martin
Respondent Lawyers(s): Francisco Jose Martin
Arbitrator(s): Harvey C. Flodin, Sidney Jacobsen
Hearing Site: San Diego, CA
| | |
| 10-00375 | 08/03/2012 | Claimant(s): Chris Jones, Wealth Rescue Strategies.
Claimant Lawyers(s): Clifford B. Altfeld, Todd S. Neal
Respondent(s): David Wheless, Robert Thompson, Sally Thompson, First Texas Alliance Corporation, NuSource Financial Group
Respondent Lawyers(s): Leonard J. Meyer, Mitchell S. Ostwald
Arbitrator(s): Harvey C. Flodin, Gunnar Thowsen, Nancy J. Spieczny
Hearing Site: San Diego, CA
| | |
| 11-03805 | 05/18/2012 | Claimant(s): William Macdonald
Claimant Lawyers(s): Theodore C. Peters
Respondent(s): Retirement Capital Group Securities
Respondent Lawyers(s): C. William Pollock
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
| | |
| 10-00801 | 04/04/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s): David Chapman, Paul Clayton, Sheri Chapman, Sherry West, EPWM Group.
Respondent Lawyers(s): Brian S. Harnikorate Officer, Michael P. McCloskey, Michael T. Conway
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, James A. Bush
Hearing Site: San Diego, CA
| | |
| 09-05925 | 01/20/2011 | Claimant(s): Thomas Matchner
Claimant Lawyers(s): Mary K. Wyman
Respondent(s): Mark Sibert, M-Cubed Consulting
Respondent Lawyers(s): Mark Sibert
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
| | Stipulated Award |
| 07-00999 | 01/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Stephen Whitman
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Harvey C. Flodin, Joseph T. Donnantuoni, Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 07-03399 | 11/30/2009 | Claimant(s): Brian Kenner, Kathleen Kenner, BKK Acquisition II, BKK Acquisition III, BKK Holdings
Claimant Lawyers(s): Michael Hume, Richard J. Edson
Respondent(s): Deutsche Bank Securities., Fred Crozier, William Conn
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Harvey C. Flodin, Anatoly "Tony" Zuban, James J. Dobbin
Hearing Site: San Diego, CA
| | $500,000 |
| 08-00696 | 05/12/2009 | Claimant(s): James Lassiter
Claimant Lawyers(s): Thomas E. Wenbourne
Respondent(s): Matthew Murphy, Wamu Investments.
Respondent Lawyers(s): Steven J. Barnes
Arbitrator(s): Harvey C. Flodin, James A. Bush, Duane Ted Wolfe
Hearing Site: San Diego, CA
| | $10,375 |
