| 18-03666 | 07/05/2019 | Claimant(s): Ken Morris
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-03406 | 05/31/2019 | Claimant(s): Michael Frager
Claimant Lawyers(s): R. Craig Zafis
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | |
| 18-03214 | 05/06/2019 | Claimant(s): Peter Shusterman
Claimant Lawyers(s): Frances Menzer
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-03213 | 04/23/2019 | Claimant(s): Nisha Varma
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-01101 | 02/19/2019 | Claimant(s): Frank Cuenca
Claimant Lawyers(s): Michael Bessette
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: San Diego, CA
| | |
| 17-02768 | 02/07/2019 | Claimant(s): Norman Lipson
Claimant Lawyers(s): Robert J Girard
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Doris V. Knotter, Thomas L. Marshall, Chad Anthony Franks
Hearing Site: San Diego, CA
|  | Expungement |
| 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) |
| 18-01196 | 12/18/2018 | Claimant(s): Scott Hood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judy Louie, Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 18-02167 | 12/13/2018 | Claimant(s): Raymond Lucia
Claimant Lawyers(s): Robert Moses
Respondent(s): Lucia Securities, Llc
Respondent Lawyers(s): Viktoria Palermo CCO
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 17-02770 | 12/11/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Guillermo Valladolid
Respondent Lawyers(s): Guillermo William Valladolid
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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