| 21-02218 | 12/15/2021 | Claimant(s): Robin Taliaferro
Claimant Lawyers(s): Stephen Young
Respondent(s): Sutter Securities Incorporated, Sutter Capital Partners
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | |
| 18-03406 | 05/31/2019 | Claimant(s): Michael Frager
Claimant Lawyers(s): R. Craig Zafis
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | |
| 17-03006 | 09/25/2018 | Claimant(s): Robert Binkele
Claimant Lawyers(s): R. Craig Zafis
Respondent(s): Barry Rubin
Respondent Lawyers(s): Barry Rubin
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
|  | Expungement |
| 16-02316 | 09/04/2018 | Claimant(s): Dwain Owens, Myron Owens, Strategic Legacy Advisors.
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Margaret Tietjen, Richard Woltman, Girard Securities.
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Marilyn R. Lewis, Verne R. Gray, David K. Schaal
Hearing Site: Omaha, NE
| | |
| 12-01854 | 09/18/2015 | Claimant(s): Tammy Miller
Claimant Lawyers(s): R. Craig Zafis
Respondent(s): Matthew Deline
Respondent Lawyers(s): Matthew Francis Deline
Arbitrator(s): Guenter S. Cohn, Kelly A. Barker, Arthur F. Brueggeman
Hearing Site: San Diego, CA
| | $16,800 |
| 09-01436 | 12/01/2010 | Claimant(s): James Jones, Lillie Jones
Claimant Lawyers(s): Casey W. Jones
Respondent(s): Dennis Beeby, Jay Potter, Michael McIntyre, Reid Scofield, Nexcore Capital.
Respondent Lawyers(s): R. Craig Zafis, Reid D. Scofield
Arbitrator(s): Robert W. Vernon, Donald S. Simons, Robert P. Clifford
Hearing Site: Los Angeles, CA
| | $15,600 |
| 07-01450 | 03/23/2009 | Claimant(s): Joan Rockouski, Duane and Shirley A. Sanders
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Dennis Marlow
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Billy Kwan, David Butler, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $60,000 |
| 04-01248 | 03/19/2008 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Alan Fishman
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): James J. Dobbin, Harris J. Howard, Robert Jay Filderman
Hearing Site: San Diego, CA
| | |
