| 16-01516 | 12/22/2016 | Claimant(s): Dominic Camerlengo
Claimant Lawyers(s): Dominic V. Camerlengo
Respondent(s): Adam Cohen, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
|  | $0 |
| 16-00543 | 12/12/2016 | Claimant(s): John Toman
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Brett W. Everhart, Doris V. Knotter, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 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 |
| 13-02523 | 12/01/2016 | Claimant(s): Edward Signaigo
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Gina Shlaferman, Tracy L. Gerber
Arbitrator(s): James D. Knotter, M. LaRae Bakerink, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 15-03376 | 10/31/2016 | Claimant(s): Kevin Meyer
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Michael T. West
Arbitrator(s): Mark R. Lee, Katherine Jane Morris, Steven A. Fox
Hearing Site: San Diego, CA
| | |
| 16-01225 | 10/18/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Enrique Marentes
Respondent Lawyers(s): Enrique Abraham Marentes
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 15-01127 | 10/10/2016 | Claimant(s): Lisa Cooper, Trevor Cooper
Claimant Lawyers(s): D. Daxton White
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): William L. Merkin, Mandel E. Himelstein, John M Wilson
Hearing Site: San Diego, CA
| | Expungement |
| 15-02207 | 06/20/2016 | Claimant(s): Eric Schindler
Claimant Lawyers(s): Chad E. Weaver
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 15-00551 | 06/17/2016 | Claimant(s): Thomas Garrity
Claimant Lawyers(s): Thomas P. Garrity
Respondent(s): Christopher Vanstelle, Mario Moretto, Steelpoint Securities.
Respondent Lawyers(s): Christopher Van Stelle
Arbitrator(s): Mark R. Lee, Nancy J. Spieczny, James Paul Estes
Hearing Site: San Diego, CA
| | |
| 14-03425 | 06/17/2016 | Claimant(s): Ramona Hahn, Ramona Hahn IRA, Ramona Hahn Roth IRA, Ramona Hahn Family Trust DTD 08/04/2003
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): LPL Financial LLC, John Sherwin, Thomas Hokr, Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bentley P. Stansbury, Jon Kaplon, Michael A. Nagy
Arbitrator(s): Guenter S. Cohn, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | Expungement |
