| 20-03122 | 05/27/2021 | Claimant(s): Calvin Halterman
Claimant Lawyers(s): Tyson W. Kovash
Respondent(s): LPL Financial LLC, Centaurus Financial.
Respondent Lawyers(s): Bryan Gless, Kelsey Vasko
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 20-02580 | 04/15/2021 | Claimant(s): Kelly Kidwell
Claimant Lawyers(s): Frances Menzer
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Andrea D. Snowden
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 20-02710 | 04/08/2021 | Claimant(s): Howard Saxauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Las Vegas, NV
| | |
| 20-01053 | 02/24/2021 | Claimant(s): Christine Tang
Claimant Lawyers(s): Chelsea Masters
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 20-02266 | 02/23/2021 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
| | |
| 16-00746 | 06/05/2020 | Claimant(s): Robert Schmiedeke, Robert E Schmiedeke Separate Property Tr
Claimant Lawyers(s): Kenneth J Catanzarite
Respondent(s): Jim Lund, Investors Capital Corp., National Planning Corporation
Respondent Lawyers(s): Derek C, Anderson, Elizabeth Lowery
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Betty Jean Jackson
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206/12504 |
| 19-03172 | 05/04/2020 | Claimant(s): Patrick Infante
Claimant Lawyers(s): Jessica Calloway
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 18-02992 | 03/23/2020 | Claimant(s): Frank Cunningham
Claimant Lawyers(s): Matthew Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Benjamin F. Breslauer, Dana L. Bigman, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00241 | 03/20/2020 | Claimant(s): Ruth Forester
Claimant Lawyers(s): Ruth Forester
Respondent(s): Randall Karl, Lucia Securities
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02191 | 03/16/2020 | Claimant(s): David Sipe
Claimant Lawyers(s): Frances Menzer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
