23-01593 | 10/14/2024 | Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Peter S. Fruin Respondent(s): Krista Stamper Respondent Lawyers(s): Krista Ann Stamper Arbitrator(s): Herbert Liberman, Daniel M. Yamshon, Richard L. Warner Hearing Site: Anchorage, AK
| | |
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 |