| 18-01909 | 01/23/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Justin M. Garbaccio
Respondent(s): Derrick Beard, DuSable Group International dba DGI INC
Respondent Lawyers(s): Corporate Office, Derrick Beard
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Las Vegas, NV
|  | $0 |
| 17-00407 | 10/15/2018 | Claimant(s): Marcia Berger, The Marcia Berger Brokerage Account, and, Marcia Berger IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Elliott M. Rector
Arbitrator(s): Erik R. Siering, Robert F. Saint-Aubin, Damon Lovette Lewis
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03474 | 04/19/2017 | Claimant(s): Samuel Hwang
Claimant Lawyers(s): Samuel S. Hwang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02450 | 02/15/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Bruce Johnson
Respondent(s): Javier Rios
Respondent Lawyers(s): Javier Rios
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: San Diego, CA
| | $0 |
| 13-03231 | 02/04/2015 | Claimant(s): Lila Luttrell
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): George Bokios, Regal Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Blaine Smith, Richard J. Stall, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04381 | 11/19/2014 | Claimant(s): Antonio Cagnolo, Arlene Webber, Farrokh Alaghband, Guita Shahrestany, Irene Martino, Lucio Martino, Mark Webber, Nick Shahrestany, Pejmon Tagizad, Peter Spataro, Stephanie Alaghband, 10100 Culver City LLC, Apollo Investments., F&A Holdings., Milan Investments, The Martino Family Trust dtd 7/2/00, The Webber 1990 Revocable Trust, Zia Shahrestany Trust
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee, Paul J. Schumacher
Arbitrator(s): Robert F. Saint-Aubin, George Frederick Garris, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04125 | 11/20/2012 | Claimant(s): Matt Correia, Dapelo & Correia Capital Investors
Claimant Lawyers(s): Matt Correia
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Alan Stamm, Theodore G. Bradpiece, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00517 | 08/17/2012 | Claimant(s): David Olson
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Thomas Fife, Associated Securities Corp.
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Benjamin F. Breslauer, Robert F. Saint-Aubin, Alfred S. Samulon
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00453 | 06/04/2012 | Claimant(s): Marvin Antonowsky, Marvin Antonowsky IRA, Antonowsky 1984 Trust UAD 03/23/1989
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): E*Trade Securities LLC, Li-Wei Chang
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Arthur F. Brueggeman, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
