| 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 |
| 21-01354 | 02/16/2023 | Claimant(s): Sean Caston
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Andrew S. May
Arbitrator(s): Roberta Haft, Ronald L. Cameron, Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 19-01231 | 12/01/2021 | Claimant(s): Mamdoh Abas
Claimant Lawyers(s): Darren Veracruz
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Roberta Haft, Michael Harrison, Nicholes W. Ghnouly
Hearing Site: Los Angeles, CA
| | |
| 15-02684 | 03/30/2017 | Claimant(s): Adina Pruitt
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Roberta Haft, Elliott David Finkel, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 10-02578 | 10/14/2014 | Claimant(s): Barbara Quick, Gary Quick
Claimant Lawyers(s): Adam T. Hoover
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John Stenson
Arbitrator(s): Roberta Haft, Robert Elman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00557 | 09/26/2014 | Claimant(s): John Wisener III & Christine Wisener Tru
Claimant Lawyers(s): Thomas Corcovelos
Respondent(s): Clinton Lord, Royal Alliance Associates., Lord Financial Services
Respondent Lawyers(s): G. Thomas Fleming III
Arbitrator(s): Roberta Haft, Edward A. Trabin, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01539 | 01/29/2014 | Claimant(s): Jang Kongthong
Claimant Lawyers(s): Jang Kongthong
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Roberta Haft
Hearing Site: Las Vegas, NV
| | $0 |
| 11-03066 | 11/30/2012 | Claimant(s): Arlene Hazelrigg
Claimant Lawyers(s): Edward S. Gelfand
Respondent(s): Morgan Stanley & Co., Steven Vitale
Respondent Lawyers(s): Jonathan D. Robbins, Thomas P. Briody
Arbitrator(s): Roberta Haft, Benjamin F. Breslauer, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02733 | 03/21/2012 | Claimant(s): Jill Carter
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Vaughn Thomas Hale, Roberta Haft, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04934 | 02/08/2012 | Claimant(s): Virginia Oakes
Claimant Lawyers(s): George K. Rosenstock
Respondent(s): Bernard Jongewaard, Mark JongewaardL fka Linsco/Private Ledger Corp., Associated Securities Corp.
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Roberta Haft, Neil S. Jasper, Joy Diane Williams
Hearing Site: Los Angeles, CA
| | Expungement |
