| 12-04040 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Aric Kent
Respondent Lawyers(s): Marie C. Mirch
Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty
Hearing Site: San Diego, CA
| | |
| 12-01674 | 12/30/2013 | Claimant(s): Colum O'Hare, Colum G. O'Hare Trust dd 9/01/1993
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Gary Glockzin, Mary Gibson, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Fred T. Kallet, Lester G. Stiel, Deanna Margaret Veitia
Hearing Site: San Diego, CA
|  | Expungement |
| 11-03966 | 10/04/2012 | Claimant(s): Tom York
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Vytas Tarulis
Hearing Site: San Diego, CA
| | Stipulated Award and Expungement |
| 07-00769 | 03/21/2011 | Claimant(s): Armande Desjarlais
Claimant Lawyers(s): Steven M. Green
Respondent(s): James Sheridan, R. Will, Randy Weaver
Respondent Lawyers(s): James A. Sheridan, R. Lance Will, Randy Weaver
Arbitrator(s): Fred T. Kallet, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | $54,833 |
| 09-00492 | 09/30/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Dana Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Katherine Jane Morris
Hearing Site: San Diego, CA
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