| 23-01599 | 10/24/2023 | Claimant(s): Barbara Fluetsch
Claimant Lawyers(s): Barbara A. Fluetsch
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
|  | $300 |
| 23-01236 | 10/19/2023 | Claimant(s): Kenneth Stern
Claimant Lawyers(s): Robert Moses
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Barbara M. Zak
Hearing Site: San Diego, CA
| | |
| 23-00986 | 09/27/2023 | Claimant(s): Philip Bradshaw
Claimant Lawyers(s): Katherine S. Bowles
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | |
| 23-01205 | 09/11/2023 | Claimant(s): Patrick Cree
Claimant Lawyers(s): Patrick H Cree
Respondent(s): Capital Growth Resources
Respondent Lawyers(s): Walter Miller
Arbitrator(s): Kelly A. Barker, Mitchell Lee Lathrop, Loyd A Wright
Hearing Site: San Diego, CA
| | |
| 23-01102 | 09/01/2023 | Claimant(s): Brian Donaldson, Frank Baldwin
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 20-01120 | 07/26/2023 | Claimant(s): Health and Wellness Lifestyle Club LLC
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Carolyn Valentine, H. Beck.
Respondent Lawyers(s): Joseph C. Campo, Richard A. D'Amura
Arbitrator(s): Mark R. Lee, George Richard Najjar, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | $0 |
| 22-02799 | 07/03/2023 | Claimant(s): Edward Dawson
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services, RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari, Nuviah Shirazi
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: San Diego, CA
| | |
| 22-00721 | 06/01/2023 | Claimant(s): William Morrow
Claimant Lawyers(s): Zachary Morse
Respondent(s): Titan/Value Equities Group., Independent Financial Group., Value Equities Corporation
Respondent Lawyers(s): Michael Mullenniex, Robert L. Dix, Sarah J. Kreisman
Arbitrator(s): Morris S. Getzels
Hearing Site: San Diego, CA
| | |
| 22-01470 | 05/10/2023 | Claimant(s): Jordan Varela
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: San Diego, CA
| | |
| 21-00320 | 05/05/2023 | Claimant(s): Fred Shahan, Wendy Cordell, on behalf of his IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Darol Paulsen, John Nguyen, Jonathan French, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Barbara M. Zak, Herbert Liberman, Deanna J. Johnson
Hearing Site: San Diego, CA
| | $780,220 |
