| 22-02572 | 03/25/2024 | Claimant(s): Emma Ward
Claimant Lawyers(s): Scott L. Silver
Respondent(s): PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
|  | Expungement |
| 19-01508 | 09/27/2021 | Claimant(s): Diane Mindrum
Claimant Lawyers(s): James P Lucking
Respondent(s): David Wolfe, Aaron Capital Incorporated
Respondent Lawyers(s): James E. Bingham
Arbitrator(s): Daniel A. Seiver, Mark T Risner, Arnold Edward Landsman
Hearing Site: Los Angeles, CA
| | $178,814 |
| 20-03439 | 04/09/2021 | Claimant(s): Konstantin Kaplun
Claimant Lawyers(s): Konstantin Kaplun
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
| 19-00210 | 06/04/2019 | Claimant(s): Tradestation Securities.
Claimant Lawyers(s): Steven M Greenbaum
Respondent(s): Abhi Batra
Respondent Lawyers(s): Abhi Batra
Arbitrator(s): Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02369 | 03/05/2018 | Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-00316 | 08/19/2015 | Claimant(s): Anne Kee, James Kee, John McCormick
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Charles Moore, Crucible Capital Group.
Respondent Lawyers(s): Charles J. Moore
Arbitrator(s): Edward J. Costello, Jeffrey Wittenberg, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | $985,314 |
