| 18-00142 | 10/31/2018 | Claimant(s): Nancy Undem
Claimant Lawyers(s): Jules L. Federman
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): E. Milton Frosburg, Kevin K. Forrester, Shawn Michael Spaulding
Hearing Site: San Diego, CA
|  | Dismissed by Rule 12206 |
| 13-02766 | 06/03/2015 | Claimant(s): Estate of Donald F. Peters, Deceased, EDFP Limited Partnership
Claimant Lawyers(s): Christopher Mader
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Mark R. Lee, Ronald O. Bub, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 12-00856 | 07/08/2013 | Claimant(s): Terri Harbison, William Harbison, Harbison Family Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Daniel Laframboise, DL Wealth Managment Group
Respondent Lawyers(s): Brandon S. Reif, Kelsey Hotchkiss
Arbitrator(s): Nancy J. Spieczny, E. Milton Frosburg, Michael D. Briggs
Hearing Site: San Diego, CA
| | Expungement |
| 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 |
| 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 |
| 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 |
| 09-02239 | 11/16/2010 | Claimant(s): Aldrich Fernandez
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Judith A. Gust, Robert John Wagener, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
