| 21-01270 | 03/14/2023 | Claimant(s): Larry Weisman, Weisman Enterprises Limited Partnership
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Charles Reiling, David Monahan, Francis Skinner, Luke Johnson, Matthew Rakerd, Coastal Equities., Coastal Investment Advisors., Legend Capital Group.
Respondent Lawyers(s): Amir Tadjedin, Mickey B. Wright
Arbitrator(s): Deana S. Peck, Floyd Gerry Hoffman, Jerome Allan Landau
Hearing Site: Phoenix, AZ
|  | Expungement |
| 22-01705 | 03/14/2023 | Claimant(s): Zenaida P. Gantan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Joel Blumenschein
Respondent Lawyers(s): Joel Reid Blumenschein
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $12,589 |
| 19-02663 | 03/14/2023 | Claimant(s): David Worby
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Nancy Kramer, Paul Vaygen, Cynthia Kouril
Hearing Site: New York, NY
| | Expungement |
| 21-01288 | 03/13/2023 | Claimant(s): Robert Thompson
Claimant Lawyers(s): Robert Brendan Thompson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gary B. Deutsch, Michael Alan Ellis, Laurie Ann Malone
Hearing Site: Cleveland, OH
| | $37,000 |
| 21-02993 | 03/13/2023 | Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
| | $0 |
| 22-00052 | 03/13/2023 | Claimant(s): Richard Ringel
Claimant Lawyers(s): Richard Ringel
Respondent(s): Michael Haupt, Randy Beller, Tradezero America.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Richard Carl Smukler, Mark A. Jacoby, Leonard Marc Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00696 | 03/10/2023 | Claimant(s): Anthony Prisco, Morgan Prisco
Claimant Lawyers(s): Rachel L Williams
Respondent(s): Edward Jones, Lindsay Strange
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Dineo Coleman Gary, James W. Kerr, Diego Jesus Pena
Hearing Site: Dallas, TX
| | Expungement |
| 22-00653 | 03/10/2023 | Claimant(s): Oscar Starker, Powernet
Claimant Lawyers(s): Oscar Starker
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven Gary Leventhal
Hearing Site: New York, NY
| | $0 |
| 21-02014 | 03/10/2023 | Claimant(s): Charles Till
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Benjamin F. Breslauer, Holly Banafsheh, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-01112 | 03/09/2023 | Claimant(s): Sandra Lucido, Vincent Lucido
Claimant Lawyers(s): Sandra N Lucido, Vincent S Lucido
Respondent(s): Ameriprise Financial Services., Ameriprise Financial Services, Reza Taraz, Riversource Distributors.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | $0 |
