| 14-02870 | 10/29/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Brian Benner
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 13-01867 | 09/25/2015 | Claimant(s): Larry English
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Fuad Ahmed, Jinesh Brahmbhatt, Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed, Jinesh Pravin Brahmbhatt
Arbitrator(s): Deanna J. Johnson, Mandel E. Himelstein, Virginia H. Gaburo
Hearing Site: San Diego, CA
|  | $270,180 |
| 12-01854 | 09/18/2015 | Claimant(s): Tammy Miller
Claimant Lawyers(s): R. Craig Zafis
Respondent(s): Matthew Deline
Respondent Lawyers(s): Matthew Francis Deline
Arbitrator(s): Guenter S. Cohn, Kelly A. Barker, Arthur F. Brueggeman
Hearing Site: San Diego, CA
| | $16,800 |
| 14-02219 | 09/17/2015 | Claimant(s): Ronald Barbanell, Ronald Barbanell U/A/D 2-26-1993 Trust
Claimant Lawyers(s): John Lawrence Allen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael D. Briggs
Hearing Site: San Diego, CA
| | Expungement |
| 14-01695 | 08/25/2015 | Claimant(s): Catherine Block
Claimant Lawyers(s): Thomas Frost
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Mark R. Lee, Thomas J. Doherty, Randy R. Maher
Hearing Site: San Diego, CA
| | $0 |
| 12-04201 | 07/29/2015 | Claimant(s): Doris Rose, Code 3 Industries., Historical Properties., Kay Administration Service., The Rose Family Trust, The Rose Family Trust # 3, The Rose Family Trust #2
Claimant Lawyers(s): Daniel Carlson, G. Mark Brewer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Helen W. Kinnaird, Evan A. Gould, John Scott Carter
Hearing Site: San Diego, CA
| | Expungement |
| 13-03299 | 07/22/2015 | Claimant(s): Carol Saunders
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Daniel Haskard, Morgan Stanley, Susan Dandridge
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | Expungement |
| 12-02242 | 07/16/2015 | Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | $327,000 |
| 14-00323 | 06/09/2015 | Claimant(s): Sean Berton
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Chris Meacham, Cornerstone Wealth Management
Respondent Lawyers(s): Steve Young
Arbitrator(s): Erwin Jay Shustak, Mandel E. Himelstein, Otis E. Hackett
Hearing Site: San Diego, CA
| | $176,750 |
| 13-02766 | 06/03/2015 | Claimant(s): Estate of Donald F. Peters, Deceased, EDFP Limited Partnership
Claimant Lawyers(s): Christopher Mader
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Mark R. Lee, Ronald O. Bub, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
