| 21-02214 | 03/23/2022 | Claimant(s): Danielle Stanton
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey L. Vasko
Arbitrator(s): Robert A. Lakosil, Kirtley M. Thiesmeyer, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 21-01733 | 03/09/2022 | Claimant(s): Benjamin Lau
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 19-03817 | 12/06/2021 | Claimant(s): D. Blankenship
Claimant Lawyers(s): Frances Menzer
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Robert L. Gonser
Arbitrator(s): David Sear, Randy R. Maher, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 19-02822 | 08/06/2021 | Claimant(s): Constantine Cristo
Claimant Lawyers(s): Constantine Gus Cristo
Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
|  | $0 |
| 18-01429 | 08/21/2019 | Claimant(s): Harry Paez
Claimant Lawyers(s): Harry Paez
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): James A. Bush, John M Wilson, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 17-02768 | 02/07/2019 | Claimant(s): Norman Lipson
Claimant Lawyers(s): Robert J Girard
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Doris V. Knotter, Thomas L. Marshall, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
| 15-01927 | 02/04/2019 | Claimant(s): Dolan Family Trust Account
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brian Hagerman, John Vaughan
Respondent Lawyers(s): Brian Joseph Hagerman, John Joseph Vaughan
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Dismissed by Rule 12601(c) |
| 17-01935 | 09/27/2018 | Claimant(s): Bob Rogers, Bobby and Michelle Rogers Family Trust
Claimant Lawyers(s): Juan C. Castaneda
Respondent(s): Morgan Stanley, Robert Nelson
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Sally G. Williams, Thomas L. Marshall, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
| 16-02139 | 12/18/2017 | Claimant(s): David Hughes
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Kestra Investment Services.
Respondent Lawyers(s): Kelsey L. Hotchkiss
Arbitrator(s): Joseph J. Woodford, Brian William Heublein, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 16-03328 | 07/20/2017 | Claimant(s): Shareholders Service Group.
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Jean Schott
Respondent Lawyers(s): Matthew S. Rork
Arbitrator(s): Herbert Liberman, Doris V. Knotter, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
