| 21-00811 | 12/14/2023 | Claimant(s): Arthur Sitelman, Edna Sitelman, Arthur Sitelman IRA, Faraway Assets, The Good Daughter
Claimant Lawyers(s): Thomas Frost
Respondent(s): Armando Roman, Independent Financial Group.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Lanny M. Leff, Robert Rosen, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
|  | $1,000,000 |
| 21-00765 | 11/29/2022 | Claimant(s): Alan Chambers, Lisa Chambers
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Pershing LLC, Rodney Rollins, Next Financial Group.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
| 19-02991 | 12/17/2021 | Claimant(s): Sandra Kim
Claimant Lawyers(s): Brent D. Meyer
Respondent(s): Anthony Bonafede, James Lamont, Joe Miller, Scott Heising, Lamont Financial Services
Respondent Lawyers(s): Edward Zusman, Michael P. Ring
Arbitrator(s): Helen Marinak Blohm, Lester Friedman, Mary H. Evans
Hearing Site: San Francisco, CA
| | Expungement |
| 20-02839 | 04/20/2021 | Claimant(s): Catherine Ward
Claimant Lawyers(s): Kimberly Ward
Respondent(s): Alicia Kitz, Michael Bahary, Hilltop Securities Inc.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | $0 |
| 18-03193 | 04/25/2019 | Claimant(s): Junfeng Song
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group., Ameritas Investment Corp.
Respondent Lawyers(s): Andrea Snowden, Edward Zusman
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
| 17-01610 | 11/30/2018 | Claimant(s): Page Rowe
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Allen Kilik
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02765 | 06/19/2017 | Claimant(s): Jack Paich
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Cory BurnellL Financial LLC, BluePrint Wealth Partners, Interactive Brokers LLC
Respondent Lawyers(s): Edward Zusman, Jason O. Billy, Neil Baritz
Arbitrator(s): William Michael Samsel, Philip Aaron Tymon, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
| | $160,000 |
| 14-02515 | 01/27/2017 | Claimant(s): Lyn Freeman, Lyn A Freeman Revocable Trust U/A11/5/12
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Jonathan Lee, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): David Wakukawa, Edward Zusman
Arbitrator(s): Jonathan H. Krotinger, Urs Laeuchli, Robert James Favole
Hearing Site: San Francisco, CA
| | Expungement |
| 04-06421 | 01/29/2008 | Claimant(s): Steven Dobel
Claimant Lawyers(s): Edward Zusman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jennifer Tomsen
Arbitrator(s): Mark A. Myers, James Francis Donovan, Robert A. Wojcik
Hearing Site: New Orleans, LA
| | $288,000 |
