| 22-00209 | 02/17/2023 | Claimant(s): Harry Barth, Richard Jackman
Claimant Lawyers(s): Craig R Bockman
Respondent(s): Jeffrey Rosenbery, Antietam Holdings, L.P.
Respondent Lawyers(s): Corporate Office, Jeffrey Rosenbery
Arbitrator(s): Roberta Haft, Robert E. Jenks, Norman Michael Garland
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-01837 | 12/14/2022 | Claimant(s): Mark Wagner
Claimant Lawyers(s): Mark Wagner
Respondent(s): Jack Hsia, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Robert E. Jenks, Marc David Wilde, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-02788 | 10/20/2022 | Claimant(s): Taiko Wakasa
Claimant Lawyers(s): Samuel B Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Bryce M. Cullinane
Arbitrator(s): Robert E. Jenks, Erin Person, Marc David Wilde
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 21-01782 | 10/19/2022 | Claimant(s): Cary Shillington, Caterina Romano, Italo Romano, Stuart Wein, Cary Shillington IRAs, CM Romano Family Trust DTD 8/26/2005, Wein Schliep Trust DTD 4/20/17
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Estate of Jan Earl Haynes, Joshua Helmle
Respondent Lawyers(s): Estate of Jan Earl Haynes, Joshua Nathan Helmle
Arbitrator(s): Robert E. Jenks, Kenneth Andrew Klinko, Fern M. Laethem
Hearing Site: San Diego, CA
| | $510,000 |
| 20-03532 | 06/15/2022 | Claimant(s): Jeffrey Kane, Marsha Kane, Jeffrey Kane IRA, Jeffrey Kane Roth IRA, Marsha Kane IRA, Marsha Kane Roth IRA, Kane Family Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-00303 | 04/11/2022 | Claimant(s): Greg Zinser, on behalf of his IRA
Claimant Lawyers(s): Samuel Benton Edwards
Respondent(s): LPL Financial LLC, Rodd Miller
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | Expungement |
| 21-02220 | 12/22/2021 | Claimant(s): Samantha Flores
Claimant Lawyers(s): Samantha Flores
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $2,500 |
| 19-03307 | 09/30/2021 | Claimant(s): Brian Dornellas
Claimant Lawyers(s): David Liebrader
Respondent(s): George Schmidt
Respondent Lawyers(s): Robert S. Larsen
Arbitrator(s): Barbara M. Zak, Mary M. O'Neil, Robert E. Jenks
Hearing Site: Las Vegas, NV
| | $525,000 |
| 21-01456 | 09/27/2021 | Claimant(s): Jordan Ganzekaufer
Claimant Lawyers(s): Jordan Ganzekaufer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | $3,213 |
| 20-03493 | 08/19/2021 | Claimant(s): Ryan Szamosszegi
Claimant Lawyers(s): Ryan Szamosszegi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edward Banian, Robert E. Jenks, H. Stuart Waxman
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
