| 20-01539 | 02/17/2023 | Claimant(s): Shannon Marquardt
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Teresa Thong
Arbitrator(s): Lester Friedman, John J. Fitzpatrick, David I. Levine
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12212 and 12511 |
| 22-00209 | 02/17/2023 | Claimant(s): Harry Barth, Richard Jackman
Claimant Lawyers(s): Craig R Bockman
Respondent(s): Jeffrey Rosenbery, Antietam Holdings, L.P.
Respondent Lawyers(s): Corporate Office, Jeffrey Rosenbery
Arbitrator(s): Roberta Haft, Robert E. Jenks, Norman Michael Garland
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-02249 | 02/17/2023 | Claimant(s): George Sentena
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Abed Lulu
Respondent Lawyers(s): Abed William Lulu
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
| 22-00243 | 02/17/2023 | Claimant(s): Michele Vitarelli
Claimant Lawyers(s): Andrei Armas
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | $29,756 |
| 21-02603 | 02/16/2023 | Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
| | Expungement |
| 21-02390 | 02/16/2023 | Claimant(s): Don and Miki Rimmer Revocable Trust, Telecomunications Network Consultants
Claimant Lawyers(s): August M. Iorio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Monica I. Salis, Susan J Jones, Eric Mealus
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01708 | 02/15/2023 | Claimant(s): Kenneth Busey
Claimant Lawyers(s): Kenneth W. Busey
Respondent(s): Brex Treasury
Respondent Lawyers(s): Edrei G. Swanson
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $0 |
| 22-00309 | 02/15/2023 | Claimant(s): Lei Wang
Claimant Lawyers(s): Lei Wang
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mario H. Metzger, Andrew M. Mintzer, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $40,375 |
| 22-00358 | 02/14/2023 | Claimant(s): Michael Garrette
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Maurice M. Feller, Mimi B. Osiason, Kathy A. Tatone
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 21-00957 | 02/14/2023 | Claimant(s): David Barnett, Sara Barnett, DSB Financial Investments, David Barnett OBO his IRA, Sara Barnett OBO her IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Martin M. Van Luven, Brian Campbell, Laura Susann Ukoli
Hearing Site: Tampa, FL
| | Expungement |
