| 22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux
Hearing Site: Denver, CO
|  | $0 |
| 23-01545 | 11/14/2023 | Claimant(s): Brian Singleton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC, Cuna Brokerage Services.
Respondent Lawyers(s): Michael T. West, Sandra D. Grannum
Arbitrator(s): Herbert Liberman
Hearing Site: Boise, ID
| | |
| 21-00320 | 05/05/2023 | Claimant(s): Fred Shahan, Wendy Cordell, on behalf of his IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Darol Paulsen, John Nguyen, Jonathan French, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Barbara M. Zak, Herbert Liberman, Deanna J. Johnson
Hearing Site: San Diego, CA
| | $780,220 |
| 21-02849 | 08/03/2022 | Claimant(s): Jeffrey Maier, Charlotte M. Maier IRA
Claimant Lawyers(s): Charlotte M. Maier, Jeffrey S. Maier
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Herbert Liberman
Hearing Site: Albuquerque, NM
| | $0 |
| 20-02086 | 06/15/2022 | Claimant(s): Shawn Parr, TTEE of Parr Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Randy R. Maher, William Richard Espino
Hearing Site: San Diego, CA
| | Expungement |
| 19-03520 | 05/04/2022 | Claimant(s): Abbas Azimi
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
| | Expungement |
| 17-02822 | 01/25/2022 | Claimant(s): Jerome Kemper, Larry Grondahl, Peggy Monette, Clinton and Pamela Rasmussen, Gregory and Vickie Heller, Kenneth and Kristine Kuhn, Mark and Kari Kringen, Steven and Elaine Sinness, Connie E. Lee Living Trust
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Alexandra Lebenthal, James Lebenthal, Myles Blechner, Lebenthal & Co.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Herbert Liberman, P J Boylan, Ilene T. Gormly
Hearing Site: Bismarck, ND
| | Expungement |
| 21-01278 | 12/21/2021 | Claimant(s): Hajime Amaya
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 21-00522 | 11/04/2021 | Claimant(s): Jason McGowan
Claimant Lawyers(s): Jason Roy McGowan
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Burke
Arbitrator(s): Herbert Liberman
Hearing Site: Albuquerque, NM
| | $0 |
| 19-03145 | 09/10/2021 | Claimant(s): Wilgus Family Survivors Trust
Claimant Lawyers(s): Jeffrey K. Wilgus
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Herbert Liberman, Katherine Jane Morris, Helen W. Kinnaird
Hearing Site: San Diego, CA
| | Dismissed by Rule 12504(b) |
