| 23-03079 | 08/12/2024 | Claimant(s): Patricia Earl, Robert Earl, OCS OLI
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Brian Batson, Cary Corwin, Lion Street Financial
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Lewis Gordon Brewer, Tiffany Wax, Catherine Harper
Hearing Site: Orlando, FL
|  | Dismissed by Rule 12504(a)(6)(B) |
| 22-02250 | 06/13/2024 | Claimant(s): Daniel Voigt, Lauren Voigt
Claimant Lawyers(s): Daniel Voigt
Respondent(s): Lion Street Financial
Respondent Lawyers(s): Max C. Rudolf
Arbitrator(s): Ilene T. Gormly, Andrew Barton, Robert Lee Walters
Hearing Site: Denver, CO
| | Expungement |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
| | Expungement |
| 22-00124 | 11/21/2022 | Claimant(s): Tim Clairmont
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services., Lion Street Financial
Respondent Lawyers(s): Carie Heckler, Jennifer R. Cox
Arbitrator(s): James E. Bartels, Reuel Kenneth Fish, Lisa Vioni
Hearing Site: Portland, OR
| | |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 20-01593 | 02/02/2021 | Claimant(s): Richard Baer
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Lion Street Financial
Respondent Lawyers(s): John Burmeister
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | |
