| 15-02207 | 06/20/2016 | Claimant(s): Eric Schindler
Claimant Lawyers(s): Chad E. Weaver
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 13-00824 | 04/16/2015 | Claimant(s): Mark Barmak
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew Sidman
Arbitrator(s): Mark R. Lee, Kenneth Andrew Klinko, Thomas L. Marshall
Hearing Site: San Diego, CA
|  | Expungement |
| 12-01874 | 06/19/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Geschke, Joseph De Falco, Lawrence King
Respondent Lawyers(s): Michael Blumenfeld, Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Edward H. Davis, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 11-03662 | 11/19/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John Giansello
Respondent(s): John Simmons
Respondent Lawyers(s): Guy A. Ricciardulli
Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 11-00240 | 07/31/2013 | Claimant(s): Ben Schwartz, Ben I. Schwartz SEP-IRA, Schwartz Commercial Realty Defined Ben
Claimant Lawyers(s): Thomas D. Mauriello, Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): John H. Knight, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 10-05727 | 06/04/2012 | Claimant(s): Donald Brown
Claimant Lawyers(s): Mary C. Scott-Hattendorf
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S Fruin
Arbitrator(s): Thomas Erique DuVoisin, Steven A. Fox, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $622,000 |
| 09-06773 | 03/16/2011 | Claimant(s): Jacqueline Picquelle
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Lawrence Alexander Huerta, John C. Lees, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $45,000 |
| 09-05958 | 03/07/2011 | Claimant(s): Octavio Torres
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): David Walker, Hartford Life Distributors f/k/a Planco
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Evan A. Gould, Thomas L. Marshall, Mack Reed Christian
Hearing Site: San Diego, CA
| | |
| 09-01782 | 11/16/2010 | Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
