| 23-00732 | 10/30/2023 | Claimant(s): David Dietrich
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 22-02914 | 10/30/2023 | Claimant(s): Paul Michlik
Claimant Lawyers(s): Paul Michlik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Ronald N. Roth, Erik R. Siering, Anatoly Tony Zuban
Hearing Site: San Diego, CA
| | |
| 23-00977 | 10/18/2023 | Claimant(s): Christina Orta
Claimant Lawyers(s): Chad Weaver
Respondent(s): Securities America.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 23-00194 | 08/25/2023 | Claimant(s): Shelby Rothman
Claimant Lawyers(s): Harris Freedman
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 22-01878 | 04/26/2023 | Claimant(s): John Jenkins
Claimant Lawyers(s): Samantha Pastor
Respondent(s): SunAmerica Securities., QA3 Financial Corp.
Respondent Lawyers(s): Jennifer R. Cox, Thomas Zielinski
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
| | |
| 20-02503 | 01/20/2023 | Claimant(s): Alison Barrett, Robert Barrett
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley, Kyle Backus
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Erik R. Siering, Roger A. Geddes, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | Expungement |
| 22-01503 | 12/20/2022 | Claimant(s): Adam Roberts, Adam Roberts 2018 Revocable Trust
Claimant Lawyers(s): Adam Roberts
Respondent(s): JPMSI
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | $0 |
| 22-00827 | 12/09/2022 | Claimant(s): Sydney Walker
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 22-00416 | 09/15/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): Erik R. Siering, Noel Harvey Applebaum, Daniel Farid Yasharel
Hearing Site: Los Angeles, CA
| | |
| 22-00189 | 08/22/2022 | Claimant(s): Martin Lombrano
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey L. Vasko
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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