| 23-01389 | 07/16/2024 | Claimant(s): David Hartmann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): David Page, SW Financial
Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page
Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank
Hearing Site: New York, NY
|  | $135,000 |
| 23-02538 | 06/07/2024 | Claimant(s): Barnes Keller, Dale Hopkins, David Handy, Doug Ross, Kevin Major, Lawrence Clarke, Robert Burkett, Robert Grasso, Ted Brown
Claimant Lawyers(s): Brandon Dei
Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Steven C. Kempisty, Esq.
Hearing Site: Albany, NY
| | Dismissed by Rule 12504 |
| 23-01665 | 04/25/2024 | Claimant(s): Bradley Grate, David Hamilton, Gary Edwards, Jeffrey Worley, Robert Ertner
Claimant Lawyers(s): Brandon Dei
Respondent(s): Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | $0 |
| 23-01148 | 12/08/2023 | Claimant(s): Claude Pizio, Patrick Deveraux, Robert Bozzi, Todd Rathe
Claimant Lawyers(s): Brandon Dei
Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Fred W. Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 19-00926 | 05/28/2021 | Claimant(s): Spartan Securities Group, Ltd.
Claimant Lawyers(s): Patricia A Leonard
Respondent(s): Gregory Garrabrants, Scott Reynolds, Axos Clearing LLC, SRR Fortress Capital
Respondent Lawyers(s): Adam C. Ford, Polly Towill
Arbitrator(s): Steven R. Reininger, John H. Foster, Martin I Jaffe
Hearing Site: Boca Raton, FL
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