| 22-00209 | 02/17/2023 | Claimant(s): Harry Barth, Richard Jackman
Claimant Lawyers(s): Craig R Bockman
Respondent(s): Jeffrey Rosenbery, Antietam Holdings, L.P.
Respondent Lawyers(s): Corporate Office, Jeffrey Rosenbery
Arbitrator(s): Roberta Haft, Robert E. Jenks, Norman Michael Garland
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-00088 | 01/03/2023 | Claimant(s): Bernard Reina
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Steven Gourley, Robert E. Jenks, Zygmont Jacob Boxer
Hearing Site: Los Angeles, CA
| | |
| 21-01837 | 12/14/2022 | Claimant(s): Mark Wagner
Claimant Lawyers(s): Mark Wagner
Respondent(s): Jack Hsia, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Robert E. Jenks, Marc David Wilde, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-02788 | 10/20/2022 | Claimant(s): Taiko Wakasa
Claimant Lawyers(s): Samuel B Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Bryce M. Cullinane
Arbitrator(s): Robert E. Jenks, Erin Person, Marc David Wilde
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 21-01782 | 10/19/2022 | Claimant(s): Cary Shillington, Caterina Romano, Italo Romano, Stuart Wein, Cary Shillington IRAs, CM Romano Family Trust DTD 8/26/2005, Wein Schliep Trust DTD 4/20/17
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Estate of Jan Earl Haynes, Joshua Helmle
Respondent Lawyers(s): Estate of Jan Earl Haynes, Joshua Nathan Helmle
Arbitrator(s): Robert E. Jenks, Kenneth Andrew Klinko, Fern M. Laethem
Hearing Site: San Diego, CA
| | $510,000 |
| 21-02801 | 08/31/2022 | Claimant(s): Trevor Siani
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Comerica Securities
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 20-03532 | 06/15/2022 | Claimant(s): Jeffrey Kane, Marsha Kane, Jeffrey Kane IRA, Jeffrey Kane Roth IRA, Marsha Kane IRA, Marsha Kane Roth IRA, Kane Family Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-02693 | 05/27/2022 | Claimant(s): Eric Moreno
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 21-02062 | 05/05/2022 | Claimant(s): Jerry Blakely
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 21-00303 | 04/11/2022 | Claimant(s): Greg Zinser, on behalf of his IRA
Claimant Lawyers(s): Samuel Benton Edwards
Respondent(s): LPL Financial LLC, Rodd Miller
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | Expungement |
