| 10-00664 | 08/04/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John C. Steele
Respondent(s): Piper Jaffray & Co., Mark Riley
Respondent Lawyers(s): John C. Steele, Marie C. Mirch
Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer
Hearing Site: San Diego, CA
| | |
| 10-03798 | 07/29/2011 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Humbert Michini
Respondent Lawyers(s): Humbert A. Michini
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 09-03670 | 07/22/2011 | Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James P. Delphey
Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams
Hearing Site: San Diego, CA
|  | Expungement |
| 11-00646 | 07/06/2011 | Claimant(s): Dr. Henry & Patrice Kankowski
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 11-00647 | 07/06/2011 | Claimant(s): Dr. James & Nada Eischen
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 10-05617 | 06/01/2011 | Claimant(s): David Gillaspy
Claimant Lawyers(s): David Gillaspy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | Expungement |
| 10-04548 | 05/09/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): John Arquette
Respondent Lawyers(s): John Robert Arquette
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | |
| 09-07032 | 05/05/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Suzanne LaTour
Respondent Lawyers(s): Peter J. Attarian
Arbitrator(s): Mandel E. Himelstein, Michael D. Briggs, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 09-02641 | 04/27/2011 | Claimant(s): M. Michele Sawyer
Claimant Lawyers(s): Jeffrey P. Lendrum
Respondent(s): Carlos Legaspy, Horwitz & Associates.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Guenter S. Cohn, Cynthia B. Stone, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 10-04911 | 04/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Daniel Crotta
Respondent Lawyers(s): Daniel William Crotta
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
