| 11-04783 | 09/05/2014 | Claimant(s): Charles Jia, Laura Zhou
Claimant Lawyers(s): Steven M. Green
Respondent(s): Anthony Sica, Gary Saccaro, Joseph Alagna, Michael Kaplan, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, Michael Kaplan
Arbitrator(s): Kevin K. Forrester, Mitchell Lee Lathrop, Traci Lynn Sherrod
Hearing Site: San Diego, CA
|  | Expungement |
| 13-03620 | 07/31/2014 | Claimant(s): Richard Hylland
Claimant Lawyers(s): Richard R. Hylland
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $0 |
| 13-03216 | 07/18/2014 | Claimant(s): Michael Abdou
Claimant Lawyers(s): Michael Abdou
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Christine Delaney
Arbitrator(s): Thomas Erique DuVoisin
Hearing Site: San Diego, CA
| | $175 |
| 12-01874 | 06/19/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Geschke, Joseph De Falco, Lawrence King
Respondent Lawyers(s): Michael Blumenfeld, Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Edward H. Davis, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 13-00430 | 06/11/2014 | Claimant(s): Agnes Barrelet, Agnes Barrelet IRA, Agnes Barrelet Trust dated 10/09/2009
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Christopher Taylor, NFP Securities.
Respondent Lawyers(s): Alexis Lu, Brandon S. Reif
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, Michael D. Briggs
Hearing Site: San Diego, CA
| | $1,246,160 |
| 12-03372 | 06/03/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Corey Casilio, John Valentine, William Leitch
Respondent Lawyers(s): Michael Blumenfeld, Robert Girard, Samuel J. Casey
Arbitrator(s): Deanna Margaret Veitia, Edward H. Davis, Steven F. Bernstein
Hearing Site: San Diego, CA
| | Expungement |
| 11-02484 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Holdings
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Sean Barrett
Respondent Lawyers(s): Richard J. Hoag
Arbitrator(s): Lester G. Stiel, Greta Glavis, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 11-03247 | 05/07/2014 | Claimant(s): Bradford Underdahl
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William J. Brack, Chad Anthony Franks
Hearing Site: San Diego, CA
| | |
| 12-03030 | 04/21/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Evan A. Gould, John Goodrich, John M Wilson
Hearing Site: San Diego, CA
| | |
| 12-03679 | 04/08/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Brent Lowe
Respondent Lawyers(s): Brent W. Lowe
Arbitrator(s): Katherine Jane Morris, Mandel E. Himelstein, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
