| 21-01716 | 07/27/2022 | Claimant(s): Diane Jones
Claimant Lawyers(s): Scott Ira Batterman
Respondent(s): Christ Baltas, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Christ Elias Baltas, Jamie John Worden
Arbitrator(s): Robert E. Thompson, Peter H. Daly, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
|  | $80,000 |
| 14-03343 | 06/07/2017 | Claimant(s): Zenaida Gantan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Apex Clearing Corporation, Freedom Investors Corp., Merrimac Corporate Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark Thomes
Arbitrator(s): Robert E. Thompson, Donald S. Green, Stephen A. Field
Hearing Site: San Francisco, CA
| | $295,513 |
| 10-05679 | 04/03/2013 | Claimant(s): Akira Akagawa, Anna Liao, Mike Fuller, Seiko Akagawa, Fuller-Liao Family Trust
Claimant Lawyers(s): Christopher Mader
Respondent(s): Alexander Montano, Christopher Turoci, Otilia Chen Rodriguez, Shawn Crawford, Steven Goodrich, C.K. Cooper & Company.
Respondent Lawyers(s): David Jarvis, Shawn E. Cowles, Shawn Patrick Crawford
Arbitrator(s): Robert E. Thompson, Roslyn Terri Mandel, Richard Ullman
Hearing Site: San Francisco, CA
| | $687,644 |
| 11-00726 | 08/02/2012 | Claimant(s): Janice Warfel, William Warfel, Antietam Industries.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Robert E. Thompson, Robert L. Chisolm, Christopher L. Mass
Hearing Site: Orlando, FL
| | $233,035 |
| 11-02506 | 03/19/2012 | Claimant(s): Margaux Loretz, Michael Loretz, Stone & Associates APC Profit Sharing Pl
Claimant Lawyers(s): Colette F. Stone
Respondent(s): George Sellers, James Brandt, UBS Financial Services Inc., Robert Schneider
Respondent Lawyers(s): Julie A. Cole
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | Expungement |
| 09-00403 | 03/14/2011 | Claimant(s): Matthew Lam
Claimant Lawyers(s): Howard M. Hoffman
Respondent(s): Jesse Ramos, Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert E. Thompson, Laurel Littman Gothelf, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
| 09-01333 | 09/20/2010 | Claimant(s): George Grant
Claimant Lawyers(s): George R. Grant
Respondent(s): Dave Samuels, Sagepoint Financial.
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | $39,000 |
| 09-03291 | 07/23/2010 | Claimant(s): Evelyn Dias, Melvin Dias
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): The Concord Equity Group
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Robert E. Thompson, Richard B. Bullock, Walter J. Huntley
Hearing Site: San Francisco, CA
| | $827,000 |
| 08-04984 | 08/03/2009 | Claimant(s): The Schaer Trust U/A DTD 03/10/2006
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | $16,429 |
