21-00811 | 12/14/2023 | Claimant(s): Arthur Sitelman, Edna Sitelman, Arthur Sitelman IRA, Faraway Assets, The Good Daughter Claimant Lawyers(s): Thomas Frost Respondent(s): Armando Roman, Independent Financial Group. Respondent Lawyers(s): Edward Zusman Arbitrator(s): Lanny M. Leff, Robert Rosen, Jay Lawrence Witkin Hearing Site: Phoenix, AZ
| | $1,000,000 |
21-00765 | 11/29/2022 | Claimant(s): Alan Chambers, Lisa Chambers Claimant Lawyers(s): Robert D. Loventhal Respondent(s): Pershing LLC, Rodney Rollins, Next Financial Group. Respondent Lawyers(s): Edward Zusman Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA
| | Expungement |
22-00329 | 10/27/2022 | Claimant(s): Bobby James Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Momentum Independent Network Respondent Lawyers(s): Edward Zusman Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX
| | |
19-02991 | 12/17/2021 | Claimant(s): Sandra Kim Claimant Lawyers(s): Brent D. Meyer Respondent(s): Anthony Bonafede, James Lamont, Joe Miller, Scott Heising, Lamont Financial Services Respondent Lawyers(s): Edward Zusman, Michael P. Ring Arbitrator(s): Helen Marinak Blohm, Lester Friedman, Mary H. Evans Hearing Site: San Francisco, CA
| | Expungement |
20-02839 | 04/20/2021 | Claimant(s): Catherine Ward Claimant Lawyers(s): Kimberly Ward Respondent(s): Alicia Kitz, Michael Bahary, Hilltop Securities Inc. Respondent Lawyers(s): Edward Zusman Arbitrator(s): Herbert Liberman Hearing Site: San Diego, CA
| | $0 |
18-03193 | 04/25/2019 | Claimant(s): Junfeng Song Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Independent Financial Group., Ameritas Investment Corp. Respondent Lawyers(s): Andrea Snowden, Edward Zusman Arbitrator(s): Steven Irving Platt Hearing Site: Baltimore, MD
| | Expungement |
17-01610 | 11/30/2018 | Claimant(s): Page Rowe Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Independent Financial Group Respondent Lawyers(s): Edward Zusman Arbitrator(s): Allen Kilik Hearing Site: Boca Raton, FL
| | Expungement |
16-03407 | 04/23/2018 | Claimant(s): Thomas Calder Claimant Lawyers(s): Thomas B. Calder Respondent(s): Financial West Group Respondent Lawyers(s): Edward Zusman Arbitrator(s): Sandra L. Malek, Elliott David Finkel, Michael Craig Ditty Hearing Site: Los Angeles, CA
| | |
15-02765 | 06/19/2017 | Claimant(s): Jack Paich Claimant Lawyers(s): Christopher P. Mader Respondent(s): Cory BurnellL Financial LLC, BluePrint Wealth Partners, Interactive Brokers LLC Respondent Lawyers(s): Edward Zusman, Jason O. Billy, Neil Baritz Arbitrator(s): William Michael Samsel, Philip Aaron Tymon, Anne M. Lawlor Goyette Hearing Site: San Francisco, CA
| | $160,000 |
14-02515 | 01/27/2017 | Claimant(s): Lyn Freeman, Lyn A Freeman Revocable Trust U/A11/5/12 Claimant Lawyers(s): Melinda Jane Steuer Respondent(s): Jonathan Lee, Robert W. Baird & Co. Incorporated Respondent Lawyers(s): David Wakukawa, Edward Zusman Arbitrator(s): Jonathan H. Krotinger, Urs Laeuchli, Robert James Favole Hearing Site: San Francisco, CA
| | Expungement |