| 12-03516 | 06/06/2013 | Claimant(s): Frank Husson
Claimant Lawyers(s): Frank D. Husson
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael D. Briggs
Hearing Site: San Diego, CA
|  | $13,002 |
| 11-03116 | 05/22/2013 | Claimant(s): Michael Stief
Claimant Lawyers(s): Marie Mirch
Respondent(s): Adam Antoniades, Alan Marcum, Catherine Cosgrove, Chapin Giordano, Craig Dindinger, David Rogers, Donna Bartlett, Dwight Badger, Garrett Merrill, Keith Daubenspeck, Michael Marderosian, Advanced Equities., First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton, Marie Mirch, Michael Frederick Marderosian
Arbitrator(s): James O. Johnson, William L. Merkin, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
| 12-02264 | 05/20/2013 | Claimant(s): Lee Tripodi
Claimant Lawyers(s): Robert L. Hill
Respondent(s): Torrey Pines Securities.
Respondent Lawyers(s): Michael W. Jacobs
Arbitrator(s): Harvey C. Flodin, Brett W. Everhart, Nancy J. Spieczny
Hearing Site: San Diego, CA
| | |
| 11-04468 | 05/16/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Michael Malvin
Respondent Lawyers(s): Michael Adam Malvin
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 12-00609 | 05/14/2013 | Claimant(s): Eric Sigdestad, Shane Hertel
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Jo-Ann C. Little, Jon C. Milliken
Hearing Site: San Diego, CA
| | |
| 11-02589 | 05/06/2013 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Peter G. Chiang
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Patrick J. Folan
Arbitrator(s): Robert A. Yates, Lester G. Stiel, Joseph J. Woodford
Hearing Site: San Diego, CA
| | |
| 09-04869 | 04/18/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): Stifel, Nicolaus & Co.., Gary Endres
Respondent Lawyers(s): Andrew Shapren, Joseph A.. Dougherty
Arbitrator(s): Nancy J. Spieczny, Deanna Margaret Veitia, Brian William Heublein
Hearing Site: San Diego, CA
| | |
| 12-02095 | 04/12/2013 | Claimant(s): Mark Robbins
Claimant Lawyers(s): Mark Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher S. Griesmeyer
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
| | |
| 11-03364 | 04/11/2013 | Claimant(s): Ralph Rugolo
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Peter Ferrara, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | Expungement |
| 12-01181 | 04/03/2013 | Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
