| 21-01864 | 12/19/2022 | Claimant(s): Susan Hebert, on Behalf of IRA
Claimant Lawyers(s): Susan Hebert
Respondent(s): LPL Financial LLC, Howard Romero
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Robert D. Sussin, Theodore G. Bradpiece, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-02518 | 12/19/2022 | Claimant(s): Dilek Uzun
Claimant Lawyers(s): Dilek Uzun
Respondent(s): Harry Zwick
Respondent Lawyers(s): Robert L. Herskovits
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
| | Expungement |
| 22-01513 | 12/19/2022 | Claimant(s): Sussan Hashemi
Claimant Lawyers(s): Sussan Hashemi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 21-02008 | 12/16/2022 | Claimant(s): Beau Crabill
Claimant Lawyers(s): Philip Vujanov
Respondent(s): Sean Casterline, Delta Securities Company
Respondent Lawyers(s): Chelsea Bauer, K. Michael Swann
Arbitrator(s): Katherine Hendricks, Adrian Martinez Madrone, Riya Kuo
Hearing Site: Seattle, WA
| | Expungement |
| 19-02225 | 12/15/2022 | Claimant(s): Young America Capital
Claimant Lawyers(s): Tad Bull
Respondent(s): Novae Inc. f/k/a HandyU Inc.
Respondent Lawyers(s): Sergio Arana
Arbitrator(s): Francis Xavier Sexton, Louis David Huss, Raymond Gerald Teet
Hearing Site: Boca Raton, FL
| | $0 |
| 22-01747 | 12/15/2022 | Claimant(s): Paul Weiland
Claimant Lawyers(s): Paul J. Weiland
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Barbara Black
Hearing Site: Raleigh, NC
| | $88 |
| 22-00297 | 12/14/2022 | Claimant(s): Justin Lowy
Claimant Lawyers(s): Craig R. Bockman
Respondent(s): Dean Nakata, Estate of Miyoko Nakata, Nakata Family Living Trust dtd 4/29/04
Respondent Lawyers(s): Kalju Nekvasil
Arbitrator(s): Robert D. Sussin, Joyce L. Hurley, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-01837 | 12/14/2022 | Claimant(s): Mark Wagner
Claimant Lawyers(s): Mark Wagner
Respondent(s): Jack Hsia, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Robert E. Jenks, Marc David Wilde, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-00551 | 12/14/2022 | Claimant(s): Joanne Henry
Claimant Lawyers(s): Joanne J. Henry
Respondent(s): UBS Financial Services Inc., Raymond Hart, Sam Giliberti
Respondent Lawyers(s): David I. Hantman, Omar Perez
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Expungement |
| 21-02380 | 12/12/2022 | Claimant(s): Henry Wilken, Henry J. Wilken Jr Revocable Trust U/A
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Cindy L. Anderson, Richard Merritt Langway, Christy Lyn Foley
Hearing Site: Orlando, FL
| | Expungement |
