| 23-03601 | 10/31/2024 | Claimant(s): Richard Treat
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
|  | $0 |
| 23-01031 | 07/15/2024 | Claimant(s): Sandra Scullen, Sandra M. Scullen IRA
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Securities America.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Louis J. Weber, Eric Ross Cromartie, Michael Wayne Johnston
Hearing Site: Dallas, TX
| | $0 |
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 12-03892 | 01/22/2014 | Claimant(s): Joseph Rocco
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Andrew Blease, American General Securities Incorporated
Respondent Lawyers(s): Edwin A. Barkel, Justin Sacca
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-02081 | 06/18/2013 | Claimant(s): Harvey Loomstein Irrevocable Trust, Joseph Loomstein Irr Tr, The Mildred Loomstein GST Exempt Irrv Tr, The Mildred Loomstein GST Non-Exmpt Tr
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Jeffrey Stern, FSC Securities Corporation
Respondent Lawyers(s): Jason A. Richardson, Justin Sacca
Arbitrator(s): Louis J. Weber, Patricia B. Lehtola, Martha Z. Ralstin
Hearing Site: Dallas, TX
| | $0 |
| 12-01181 | 04/03/2013 | Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
