| 11-02921 | 04/01/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Nicole Eppley
Respondent Lawyers(s): Nicole S. Eppley
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 12-01065 | 02/26/2013 | Claimant(s): Paul Kroell
Claimant Lawyers(s): Paul Gerrit Kroell
Respondent(s): Bill Gregg, Jamie Meronoff, Scottrade Inc., Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione, Niels P. Murphy
Arbitrator(s): Harvey C. Flodin, David G Sear, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
|  | Expungement |
| 11-03789 | 02/15/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Matthew Francis
Respondent Lawyers(s): Matthew Hamel Francis
Arbitrator(s): Guenter S. Cohn, Duane Ted Wolfe, Joseph Patrick Kett
Hearing Site: San Diego, CA
| | |
| 12-03457 | 02/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Gary Ladrido
Respondent Lawyers(s): Gary Aquino Ladrido
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 12-00068 | 01/31/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Avelino Cortina
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, Jo-Ann C. Little
Hearing Site: San Diego, CA
| | |
| 12-01002 | 01/17/2013 | Claimant(s): Diane Miller, Ilene Willsey, Kathleen Schwab, Skoff North Park II LLC, Skoff Olympic Gateway Parkway LLC, Skoff Sunriver LLC, Skoff-One Hanover, Estate of Ray Skoff, Ray Skoff Trust
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): Sentra Securities Corporation
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 11-02448 | 12/07/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Francisco Martin
Respondent Lawyers(s): Francisco Jose Martin
Arbitrator(s): Harvey C. Flodin, Sidney Jacobsen
Hearing Site: San Diego, CA
| | |
| 10-05385 | 11/28/2012 | Claimant(s): Angelica Gavaldon, Sergio Gavaldon, Harley Investments., S&A Investments.
Claimant Lawyers(s): Robert M. Traylor
Respondent(s): Stanchart Securities International., Standard Chartered Bank International, Standard Chartered International (USA)
Respondent Lawyers(s): Ricardo Gonzalez
Arbitrator(s): Lisa M. Roth, E. Milton Frosburg, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $0 |
| 10-01665 | 11/27/2012 | Claimant(s): Sharda Motwani, Virumal Motwani
Claimant Lawyers(s): Virumal Motwani
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Katherine Jane Morris, Evan A. Gould, Seth Schwartz
Hearing Site: San Diego, CA
| | Expungement |
| 11-03966 | 10/04/2012 | Claimant(s): Tom York
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Vytas Tarulis
Hearing Site: San Diego, CA
| | Stipulated Award and Expungement |
