20-03924 | 03/10/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Tracy L. Gerber Respondent(s): Ryan Hyslop Respondent Lawyers(s): Brandon S. Reif Arbitrator(s): Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
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18-01226 | 09/16/2022 | Claimant(s): Hisako Patten Claimant Lawyers(s): Hisako Patten Respondent(s): Craig Dock, Scottrade Inc., TD Ameritrade. Respondent Lawyers(s): William M. Turner Arbitrator(s): Randy R. Maher, Cynthia Cashman Makin, Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
| | Expungement |
21-02803 | 07/15/2022 | Claimant(s): First Allied Securities. Claimant Lawyers(s): David G. Smitham Respondent(s): Neil Fineman Respondent Lawyers(s): Neil S. Fineman Arbitrator(s): Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
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21-00527 | 10/29/2021 | Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Peter S. Fruin Respondent(s): Mark Boucher Respondent Lawyers(s): Mark Joseph Boucher Arbitrator(s): Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
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20-02419 | 12/16/2020 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): William H. Edmonson Respondent(s): Margarita Medina Respondent Lawyers(s): Margarita Medina Arbitrator(s): Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
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18-02805 | 11/11/2019 | Claimant(s): The Leonard and Gen Winton Trust Claimant Lawyers(s): Robert G. Knaier Respondent(s): Scottrade Inc., TD Ameritrade. Respondent Lawyers(s): William M. Turner Arbitrator(s): James D. Knotter, Chad Anthony Franks, Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
| | $0 |
17-01935 | 09/27/2018 | Claimant(s): Bob Rogers, Bobby and Michelle Rogers Family Trust Claimant Lawyers(s): Juan C. Castaneda Respondent(s): Morgan Stanley, Robert Nelson Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Sally G. Williams, Thomas L. Marshall, Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
| | $0 |
17-01020 | 06/22/2018 | Claimant(s): Lisa Pola Claimant Lawyers(s): Tracy P Stoneman Respondent(s): Morgan Stanley, Robert Perry Respondent Lawyers(s): John S. Worden Arbitrator(s): Michael Harrison, Mary M. O'Neil, Charles Chia-Lin Hsieh Hearing Site: Los Angeles, CA
| | $0 |