23-01577 | 09/05/2024 | Claimant(s): Lester Berman Claimant Lawyers(s): John Owen Murrin Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Erik R. Siering, Jeffrey L. Malek, Randall William Clow Hearing Site: Los Angeles, CA
| | $0 |
23-03030 | 08/23/2024 | Claimant(s): Mark Rothstein Claimant Lawyers(s): Tadeusz McMahon Respondent(s): LPL Financial LLC, Independent Financial Group., Centaurus Financial. Respondent Lawyers(s): Jon D. Kaplon, Michael J. Carey, Sarah J. Kreisman Arbitrator(s): Erik R. Siering Hearing Site: San Diego, CA
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23-01453 | 08/06/2024 | Claimant(s): Jeffery Sorensen Claimant Lawyers(s): Peter Lindholm Respondent(s): Triad Advisors LLC Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA
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23-02056 | 06/26/2024 | Claimant(s): John Loehr Claimant Lawyers(s): Bentley P Stansbury Respondent(s): Edward Jones Respondent Lawyers(s): Darren Goodman Arbitrator(s): Erik R. Siering Hearing Site: San Diego, CA
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22-01637 | 05/06/2024 | Claimant(s): Mindey Morrison Claimant Lawyers(s): James J. Moylan Respondent(s): Ivar Sorensen, Richard Vitale, The M & A Group LLC Respondent Lawyers(s): Brandon S. Reif Arbitrator(s): Mark R. Lee, Erik R. Siering, Ria Gost Hearing Site: San Diego, CA
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23-02525 | 01/23/2024 | Claimant(s): Alexander Phillips, Jordan Hayes Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA
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22-02375 | 01/19/2024 | Claimant(s): Lana Baselt, Estate of Randall Baselt Claimant Lawyers(s): Jared Peterson Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Scott E. Rahn Arbitrator(s): Joseph Howard Cooper, Erik R. Siering, Olivia J. Valentine Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212© and 12511(b) |
23-01365 | 01/18/2024 | Claimant(s): Michelle Anthony Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services Respondent Lawyers(s): Charlton Young, Neal S. Robb Arbitrator(s): Erik R. Siering Hearing Site: Phoenix, AZ
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23-01566 | 01/12/2024 | Claimant(s): Howard Hsieh Claimant Lawyers(s): Christina Vourakis Respondent(s): Cetera Investment Services. Respondent Lawyers(s): Jeremy Carr Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA
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23-01708 | 11/16/2023 | Claimant(s): Kelly Morris Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Erik R. Siering Hearing Site: San Diego, CA
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