| 18-00642 | 10/02/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Reed H. Bement, Jonathan H. Krotinger, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|  | Expungement |
| 17-00756 | 10/02/2018 | Claimant(s): David Morin
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John Stalanski, CCO
Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day
Hearing Site: Houston, TX
| | $287,186 |
| 17-01969 | 10/01/2018 | Claimant(s): George Mattson, GNM ICBC
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Tibor L. Nagy
Arbitrator(s): Gloria O. North, Daniel Joseph Chiodo, Ronald W. Weissman
Hearing Site: Boca Raton, FL
| | $0 |
| 17-00230 | 09/28/2018 | Claimant(s): Elide Corporation
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Robert B. Hansohn, Robert E. Jenks, Aurelio A. Garcia
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-01190 | 09/27/2018 | Claimant(s): Stephen Esposito, Spo Holdings
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Louis H. Miron, Theresa R. Joyner, Sidney Seligman
Hearing Site: Newark, NJ
| | Expungement |
| 17-01935 | 09/27/2018 | Claimant(s): Bob Rogers, Bobby and Michelle Rogers Family Trust
Claimant Lawyers(s): Juan C. Castaneda
Respondent(s): Morgan Stanley, Robert Nelson
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Sally G. Williams, Thomas L. Marshall, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
| 16-02808 | 09/26/2018 | Claimant(s): Joseph Myers
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Wilmington, DE
| | $50,150 |
| 17-01340 | 09/26/2018 | Claimant(s): David Beam, The Estate of Doris P. Beam, David M. Beam Irrevocable Trust
Claimant Lawyers(s): Sam McGee
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Christopher D. Tomlinson
Arbitrator(s): Emily Eiselman Hunter, Susan L. Luck, Ronald Tuttle Osborn
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 17-02377 | 09/26/2018 | Claimant(s): Keith Yun, Nancy Yun
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson, Arthur T. Berggren, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-01327 | 09/26/2018 | Claimant(s): Janet Zupkus
Claimant Lawyers(s): Janet B Zupkus
Respondent(s): Cambridge Investment Research., John Pronovost
Respondent Lawyers(s): Carolyn Browne, James Kopecky
Arbitrator(s): Charles W. Danis
Hearing Site: Hartford, CT
| | $41,570 |
