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 |
21-02458 | 02/02/2022 | Claimant(s): Patricia Mary Taylor Trust Claimant Lawyers(s): Gary Mark Brewer Respondent(s): Christopher Taylor, Kestra Investment Services Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
19-02176 | 01/28/2022 | Claimant(s): Theresa Irene Deukmedjian IRA, Deukmedjian Revocable Family Trust Claimant Lawyers(s): Nicholas Berg Respondent(s): David Pathe, in his capacity as Atty, Charles Schwab & Co.., David Pathe IRA Contributory, The David Pathe Trust dtd 7/17/2002 Respondent Lawyers(s): George C. Miller, Gilbert R. Serota Arbitrator(s): Mark R. Lee, Robert B. Hansohn, Janice L. Sperow Hearing Site: San Diego, CA
| | $0 |
21-01960 | 12/20/2021 | Claimant(s): Nina Gould, Quinn Gold Claimant Lawyers(s): Nina Gould Respondent(s): Webull Financial LLC Respondent Lawyers(s): Danielle R. Gill Arbitrator(s): George Richard Najjar Hearing Site: San Diego, CA
| | $0 |
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 |
19-03145 | 09/10/2021 | Claimant(s): Wilgus Family Survivors Trust Claimant Lawyers(s): Jeffrey K. Wilgus Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Herbert Liberman, Katherine Jane Morris, Helen W. Kinnaird Hearing Site: San Diego, CA
| | Dismissed by Rule 12504(b) |
19-02822 | 08/06/2021 | Claimant(s): Constantine Cristo Claimant Lawyers(s): Constantine Gus Cristo Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings. Respondent Lawyers(s): Stacey M. Garrett Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall Hearing Site: San Diego, CA
| | $0 |
21-00370 | 07/27/2021 | Claimant(s): Misbah Eldereiny Claimant Lawyers(s): Tarek Saleh Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Kirtley M. Thiesmeyer, Shawn Michael Spaulding, William (Lee) Biddle Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
20-04192 | 06/01/2021 | Claimant(s): James Abonyi Claimant Lawyers(s): James M. Abonyi Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Barbara M. Zak Hearing Site: San Diego, CA
| | $88 |
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 |