| 15-01635 | 01/19/2017 | Claimant(s): Alan Barrett, Margaret Barrett
Claimant Lawyers(s): Robert B. Ingram
Respondent(s): LPL Financial LLC, Ernest Renner, Steven Lambert
Respondent Lawyers(s): Amir Tadjedin, Ryan Probstfeld, Thomas Franklin Barnett
Arbitrator(s): Thomas D. Reese, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
|  | $0 |
| 13-02785 | 07/14/2015 | Claimant(s): Carol McPherson, Michael McPherson, 1600 Barberry Lane 27, 1600 Barberry Lane 28, Oak Park Office Center 15, Oak Park Office Center 16
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Justine Fischer, Bert P. Krages, Gary L. Vezina
Hearing Site: Portland, OR
| | Expungement |
| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02491 | 03/13/2014 | Claimant(s): James T. and Sandee K. Waller
Claimant Lawyers(s): James T. Waller
Respondent(s): Neal Kloke
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
| | $10,300 |
| 13-01404 | 12/27/2013 | Claimant(s): Elizabeth Duncan, Robert Duncan
Claimant Lawyers(s): David A. Zisser
Respondent(s): Sammons Securities Company
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Samuel E. Wing, Thaddeus J. Tecza, Ronald L. Lantz
Hearing Site: Denver, CO
| | Dismissed by Rule 12206 |
