| 22-00951 | 07/28/2023 | Claimant(s): Holden Green
Claimant Lawyers(s): Holden Green
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Ralph A. Cotton, William W. Haskell, Lowell H. Haky
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12504/12212 |
| 21-00090 | 06/29/2023 | Claimant(s): Ralph Gatto Roth IRA, Ralph and Vicki Gatto Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): Minnie Loo, Daniel M. Yamshon, Lawrence R. Mills
Hearing Site: San Francisco, CA
| | Expungement |
| 23-00217 | 06/12/2023 | Claimant(s): Minjoo Lee
Claimant Lawyers(s): Minjoo Lee
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mary Mackey
Hearing Site: San Francisco, CA
| | $0 |
| 22-01872 | 06/08/2023 | Claimant(s): Walter Light
Claimant Lawyers(s): Walter Waitak Light
Respondent(s): Integral Financial LLC
Respondent Lawyers(s): Frank Ho
Arbitrator(s): Helen Marinak Blohm, Timothy P. Bogan, Rosalind Ramsey Tyson
Hearing Site: San Francisco, CA
| | $0 |
| 21-02699 | 05/25/2023 | Claimant(s): Beverly Ranken
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Jon H. Sylvester, David Handsher
Hearing Site: San Francisco, CA
| | Expungement |
| 21-00819 | 05/12/2023 | Claimant(s): Rotem Perelmuter
Claimant Lawyers(s): Geoffrey T. Macbride
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Jeffrey M. Allen, Dorian Antoine Peters, Nancy Lynne Williamson
Hearing Site: San Francisco, CA
| | $3,976,050 |
| 22-01186 | 03/23/2023 | Claimant(s): Anthony Karazeris
Claimant Lawyers(s): Anthony Karazeris
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
| | $0 |
| 22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford
Claimant Lawyers(s): La Verne C. Simmons
Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs
Hearing Site: San Francisco, CA
| | $0 |
| 22-01705 | 03/14/2023 | Claimant(s): Zenaida P. Gantan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Joel Blumenschein
Respondent Lawyers(s): Joel Reid Blumenschein
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $12,589 |
| 22-00122 | 03/09/2023 | Claimant(s): Paul E. Vaz Trucking.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Lawrence R. Mills, Sarah Jane Militello, Bruce J Highman
Hearing Site: San Francisco, CA
| | Expungement |
