| 22-01878 | 04/26/2023 | Claimant(s): John Jenkins
Claimant Lawyers(s): Samantha Pastor
Respondent(s): SunAmerica Securities., QA3 Financial Corp.
Respondent Lawyers(s): Jennifer R. Cox, Thomas Zielinski
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
| | |
| 22-02036 | 04/11/2023 | Claimant(s): Brian Stokes
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 20-03924 | 03/10/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Ryan Hyslop
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | |
| 21-00664 | 01/09/2023 | Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Chris Osborne, Curtis Peterson, Darren Pfefferman, David Bigler, David Lawrence, Morgan Stanley, Lisa Haygood, Nicholas Westendorf, Rachel Morman
Respondent Lawyers(s): Rachel Morman, Tracy L. Gerber
Arbitrator(s): Martin Jonathan Barrack, Jo-Ann C. Little, Janice L. Sperow
Hearing Site: San Diego, CA
| | |
| 21-01782 | 10/19/2022 | Claimant(s): Cary Shillington, Caterina Romano, Italo Romano, Stuart Wein, Cary Shillington IRAs, CM Romano Family Trust DTD 8/26/2005, Wein Schliep Trust DTD 4/20/17
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Estate of Jan Earl Haynes, Joshua Helmle
Respondent Lawyers(s): Estate of Jan Earl Haynes, Joshua Nathan Helmle
Arbitrator(s): Robert E. Jenks, Kenneth Andrew Klinko, Fern M. Laethem
Hearing Site: San Diego, CA
|  | $510,000 |
| 18-01226 | 09/16/2022 | Claimant(s): Hisako Patten
Claimant Lawyers(s): Hisako Patten
Respondent(s): Craig Dock, Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Randy R. Maher, Cynthia Cashman Makin, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | Expungement |
| 21-02801 | 08/31/2022 | Claimant(s): Trevor Siani
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Comerica Securities
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 21-03078 | 08/23/2022 | Claimant(s): Tod Lenhoff
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Financial West Group, Madison Avenue Securities
Respondent Lawyers(s): Gene Valentine, Jeffrey S. Kob
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 21-02803 | 07/15/2022 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): David G. Smitham
Respondent(s): Neil Fineman
Respondent Lawyers(s): Neil S. Fineman
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | |
| 20-02086 | 06/15/2022 | Claimant(s): Shawn Parr, TTEE of Parr Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Randy R. Maher, William Richard Espino
Hearing Site: San Diego, CA
| | Expungement |
