| 22-02441 | 05/03/2024 | Claimant(s): Nicole Maisner
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Benjamin F. Breslauer, Aurelio A. Garcia, Carmen Theresa Herrera
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-01988 | 02/20/2024 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Erick Lopez
Respondent Lawyers(s): Erick Lopez
Arbitrator(s): Allen B. Lang, Deana S. Peck, Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
| | $0 |
| 21-02014 | 03/10/2023 | Claimant(s): Charles Till
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Benjamin F. Breslauer, Holly Banafsheh, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-02816 | 03/02/2023 | Claimant(s): Bruce Cullen, Sr. and Rosemarie Cullen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Barbara M. Zak, Benjamin F. Breslauer, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $1,483,670 |
| 20-03808 | 04/05/2022 | Claimant(s): Gabrielle Sigel, Jacqueline Rosen, Lawrence Osman, Rochelle Seeman, Osman Family Trust
Claimant Lawyers(s): Katherine A. Petti
Respondent(s): J.P. Morgan Securities, Sherod Hanson
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00746 | 06/05/2020 | Claimant(s): Robert Schmiedeke, Robert E Schmiedeke Separate Property Tr
Claimant Lawyers(s): Kenneth J Catanzarite
Respondent(s): Jim Lund, Investors Capital Corp., National Planning Corporation
Respondent Lawyers(s): Derek C, Anderson, Elizabeth Lowery
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 18-02992 | 03/23/2020 | Claimant(s): Frank Cunningham
Claimant Lawyers(s): Matthew Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Benjamin F. Breslauer, Dana L. Bigman, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00241 | 03/20/2020 | Claimant(s): Ruth Forester
Claimant Lawyers(s): Ruth Forester
Respondent(s): Randall Karl, Lucia Securities
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00166 | 06/07/2018 | Claimant(s): Thomas Yague
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Owen
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mario H. Metzger, Benjamin F. Breslauer, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00812 | 01/25/2018 | Claimant(s): Petra Latch, Criterion Group Inc.fka The Randal Compa, Peve, Peve Defined Benefit Pension Plan, Randall Company Defined Benefit Pension
Claimant Lawyers(s): David Mincin
Respondent(s): Christine Soscia, Steven BeattyL Independent Advisor Services Group,
Respondent Lawyers(s): David Freniere, Jay Young
Arbitrator(s): Benjamin F. Breslauer, Robert E. Jenks, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
| | Expungement |
