Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-00736 | 12/07/2018 | Claimant(s): John Paffendorf Claimant Lawyers(s): Thomas C. Frost Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA | ||
| 18-02209 | 12/07/2018 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Timothy N. Will Respondent(s): Frank Bethan Respondent Lawyers(s): Frank Daniel Bethan Arbitrator(s): Mandel E. Himelstein Hearing Site: San Diego, CA | ||
| 18-02148 | 12/04/2018 | Claimant(s): Breanne Polonia Claimant Lawyers(s): Cheryl S. Chang Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoffrey S. Beckham Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA | ||
| 17-02029 | 12/04/2018 | Claimant(s): Barbara Freeman Claimant Lawyers(s): Michael L. Kirby Respondent(s): J.P. Morgan Securities, Vincent McGuinness Respondent Lawyers(s): Jason R. Lindsay Arbitrator(s): Nancy J. Spieczny, Randall B Christison, Kevin Joseph Pilon Hearing Site: San Diego, CA |  | Expungement |
| 18-00480 | 12/03/2018 | Claimant(s): Charles Duncan Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Securities America. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Mandel E. Himelstein Hearing Site: San Diego, CA | ||
| 18-00506 | 11/23/2018 | Claimant(s): Gabriel Yanez Claimant Lawyers(s): Dochtor Kennedy Respondent(s): WAMU Investments. Respondent Lawyers(s): Richard B. Davis Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 18-01117 | 11/14/2018 | Claimant(s): Frank Cuenca Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network, Llc Respondent Lawyers(s): Ronald T. Klimas Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 17-03385 | 11/06/2018 | Claimant(s): Wedbush Securities Inc. Claimant Lawyers(s): Leandro Palencia Respondent(s): Mark Riley Respondent Lawyers(s): Mark Christopher Riley Arbitrator(s): Evan A. Gould Hearing Site: San Diego, CA | ||
| 18-00464 | 11/05/2018 | Claimant(s): Thomas Prentice Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 18-00142 | 10/31/2018 | Claimant(s): Nancy Undem Claimant Lawyers(s): Jules L. Federman Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Geoffrey S. Beckham Arbitrator(s): E. Milton Frosburg, Kevin K. Forrester, Shawn Michael Spaulding Hearing Site: San Diego, CA | | Dismissed by Rule 12206 |