| 11-00270 | 05/25/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Karen Paige aka Karen Sennes
Respondent Lawyers(s): Karen L. Paige aka Karen Sennes
Arbitrator(s): Alan Stamm
Hearing Site: San Diego, CA
| | |
| 11-03805 | 05/18/2012 | Claimant(s): William Macdonald
Claimant Lawyers(s): Theodore C. Peters
Respondent(s): Retirement Capital Group Securities
Respondent Lawyers(s): C. William Pollock
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
| | |
| 11-04477 | 05/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): William Lindgren
Respondent Lawyers(s): William Bood Lindgren
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 10-02727 | 04/27/2012 | Claimant(s): Damien Moore
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ronald N. Roth, William L. Erwin, Sally G. Williams
Hearing Site: San Diego, CA
|  | Expungement |
| 09-06706 | 04/05/2012 | Claimant(s): Monica Boniadi, Robert Boniadi
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | Expungement |
| 10-00801 | 04/04/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s): David Chapman, Paul Clayton, Sheri Chapman, Sherry West, EPWM Group.
Respondent Lawyers(s): Brian S. Harnikorate Officer, Michael P. McCloskey, Michael T. Conway
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, James A. Bush
Hearing Site: San Diego, CA
| | |
| 11-00762 | 03/12/2012 | Claimant(s): Jack Smith
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Worth Bagley
Respondent Lawyers(s): Richard A. Bunt
Arbitrator(s): James J. Dobbin, Jon C. Milliken, Donovan Evans Dorsey
Hearing Site: San Diego, CA
| | |
| 11-00883 | 03/09/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Short
Respondent Lawyers(s): Scott W. Short
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 11-02504 | 02/10/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Evelyn C. Best
Respondent(s): The Macaluso Family Trust dd 9/25/1995
Respondent Lawyers(s): Leo Macaluso
Arbitrator(s): Mark R. Lee, Lauren Litman, Katherine Jane Morris
Hearing Site: San Diego, CA
| | Expungement |
| 11-00347 | 02/10/2012 | Claimant(s): Araceli Hardt, Heinrich Hardt, Hardt Family Trust dated February 22, 20, Hardt Family Trust dtd June 8, 1978
Claimant Lawyers(s): Brian D. Miller
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David Markun
Arbitrator(s): Lester G. Stiel, Mandel E. Himelstein, Evan A. Gould
Hearing Site: San Diego, CA
| | $1,367,000 |
