| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
|  | Expungement |
| 20-02237 | 08/16/2022 | Claimant(s): Mark Schultz, Wealth Management Trust
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | Expungement |
| 19-02212 | 06/13/2022 | Claimant(s): John Atkinson, Lora Atkinson, John L. Atkinson as JTWROS, Lora Atkinson as JTWROS
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Nancy J. Cliff, Michael D Felton, Harry Albirt
Hearing Site: Boca Raton, FL
| | $390,000 |
| 20-04065 | 01/12/2022 | Claimant(s): Steven Swanson
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Infinity Financial Services
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
| | $0 |
| 20-01114 | 11/10/2021 | Claimant(s): Richard Dudley, R. Dudley on behalf of his IRA accts, R. Dudley AIF for spouse, Anna A. Dudley
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Charles McGarry
Hearing Site: Dallas, TX
| | Expungement |
| 19-02559 | 11/20/2020 | Claimant(s): John Didomenico, on behalf of his IRA
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Daniel Raupp, Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski, Tanya S. Lambrechts
Arbitrator(s): Richard J. Kaplan, Joseph Benalt, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Dismissed |
| 18-04048 | 04/13/2020 | Claimant(s): Carole Blake, Lawrence Franklin, Lawrence Franklin Revocable Trust
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Barth Satuloff, Robert Lawrence Ostrov, Peter Shapiro
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00425 | 10/17/2014 | Claimant(s): Haydee de Cancio, Pablo Cancio
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Citigroup Global Markets., Juan Colon-Perea, Popular Securities.
Respondent Lawyers(s): Jason S. Haselkorn, Roberto C. Quinones-Rivera
Arbitrator(s): Monroe Mitchel, Stuart K. Furman, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | Expungement |
| 12-01423 | 06/27/2013 | Claimant(s): Ellen Gache, EBG Investments, LLP
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Levitt Capital Management
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Michael A. Levin, Perry Earl Phillips, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00758 | 10/04/2012 | Claimant(s): Carlos Perez
Claimant Lawyers(s): Marie Elsie Lopez-Adams
Respondent(s): Citigroup Global Markets., Juan Estarellas Sabater
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Bernard A. Becker, Stuart K. Furman, Guillermo A. Gleizer
Hearing Site: San Juan, PR
| | $25,300 |
