| 19-00549 | 06/13/2019 | Claimant(s): William Kearney
Claimant Lawyers(s): David I. Hantman
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Samuel H. Chorches
Hearing Site: Manchester, NH
| | |
| 12-04241 | 06/22/2016 | Claimant(s): Sonia Romagosa
Claimant Lawyers(s): Sonia Romagosa
Respondent(s): Carlos Getino, Ameriprise Financial Services.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Gerald F. Corrigan, Laurent C. Vonderweidt, Joyce L. Hurley
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-02450 | 06/03/2016 | Claimant(s): Anna Baugh, Colin Baugh, Madeline Baugh, Margaret Polito, Madeline Baugh IRA, Margaret Polito IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Jo-Marie Lisa, Steven M. Guttell, John Austin Darden
Hearing Site: Albuquerque, NM
| | $150,600 |
| 14-01072 | 02/12/2015 | Claimant(s): Efrosini Barish
Claimant Lawyers(s): Stephen D. Barish
Respondent(s): Park Avenue Securities LLC, Securian Financial Services.
Respondent Lawyers(s): Matthew D. Klafter, Neil S. Baritz
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
| | $18,600 |
| 13-00878 | 06/02/2014 | Claimant(s): John Brasfield
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Helen E. Huyler
Hearing Site: Birmingham, AL
| | Expungement |
| 09-05316 | 04/17/2013 | Claimant(s): Shahin Aarabi
Claimant Lawyers(s): Mark T. Hiraide
Respondent(s): Ameriprise Financial Services., Yousef Jamshidipour
Respondent Lawyers(s): David L. Casterline, Matthew D. Klafter
Arbitrator(s): Edward A. Trabin, Linda L. Drummond, Milton N. Gross
Hearing Site: Los Angeles, CA
| | $82,656 |
