| 11-03976 | 03/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith barney FA Notes
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Victor Elkind
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Lester G. Stiel, Michael D. Briggs, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 13-00579 | 03/04/2014 | Claimant(s): Doreen Blank, Edward Blank, Estate of Della A.B. Baker
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): James Glover, Signator Investors.
Respondent Lawyers(s): James Robert Glover, Paul F. Enzinna
Arbitrator(s): Jeffrey L. Gaffney, Randy R. Maher, Daniel R. Saling
Hearing Site: San Diego, CA
|  | $1,589,150 |
| 12-04191 | 02/06/2014 | Claimant(s): Negotiart of America.
Claimant Lawyers(s): David E. Robbins
Respondent(s): Sean Spearman, Ascendiant Capital Markets
Respondent Lawyers(s): Brian A. Lebrecht
Arbitrator(s): Erwin Jay Shustak, Brian Boru Torsney, Traci Lynn Sherrod
Hearing Site: San Diego, CA
| | $510,890 |
| 12-02504 | 01/29/2014 | Claimant(s): Ernest Coneen, The Coneen Family Trust DTD 06-16-82
Claimant Lawyers(s): Michael J. Aguirre
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Philip Bresnick, Morgan Stanley Commercial Financial Svcs
Respondent Lawyers(s): Jason Lindsey, Paul Schumacher, Scott E. Rahn
Arbitrator(s): Vytas Tarulis, Gino Dante Serpe, Michael D. Briggs
Hearing Site: San Diego, CA
| | Expungement |
| 12-03473 | 01/22/2014 | Claimant(s): Daryl Olson
Claimant Lawyers(s): Matthew J. Faust
Respondent(s): Wells Fargo Advisors, John Mclaughlin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Sally G. Williams
Hearing Site: San Diego, CA
| | $35,954 |
| 12-01674 | 12/30/2013 | Claimant(s): Colum O'Hare, Colum G. O'Hare Trust dd 9/01/1993
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Gary Glockzin, Mary Gibson, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Fred T. Kallet, Lester G. Stiel, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
| 13-01355 | 12/20/2013 | Claimant(s): Nadia Bacon f/k/a Nadi Youssef
Claimant Lawyers(s): Nadia Youssef
Respondent(s): Wells Fargo Advisors Financial Network, Fifth Third Securities.
Respondent Lawyers(s): Deirdre Wolff, Peter J. Stautberg
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
| | $3,524 |
| 11-03662 | 11/19/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John Giansello
Respondent(s): John Simmons
Respondent Lawyers(s): Guy A. Ricciardulli
Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 12-03551 | 10/25/2013 | Claimant(s): Frances Lamm-Roberts, Frances Lamm-Roberts IRA, Lamm Revocable Trust A
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | Expungement |
| 13-00128 | 10/22/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Tim Grubb
Respondent(s): David Lee
Respondent Lawyers(s): David Robert Lee
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
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