| 16-00476 | 03/01/2017 | Claimant(s): Swinder Chhina
Claimant Lawyers(s): Swinder S. Chhina
Respondent(s): Sagepoint Financial., Rajvinder Budwal
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
|  | $0 |
| 14-02077 | 11/23/2015 | Claimant(s): John Haas, Kathy Haas, NNN Parkway Corporate Plaza 5
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Sagepoint Financial., Peter Shusterman
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Mary Elizabeth Geerdes, Daniel A. Seiver, Randall Brian Christison
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 13-02946 | 08/13/2015 | Claimant(s): Laura Rappaport, Richard Rappaport
Claimant Lawyers(s): Adam B. Wolf, Daniel J. Carr
Respondent(s): John Pisapia, Chelsea Financial Services
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Ralph H. Erickson, Audrey H. Ruben, Jeffrey Wittenberg
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04612 | 08/15/2013 | Claimant(s): James Baldino, Tri-Con Construction Co. of New Jersey
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Richard Polo, Dunham & Associates Investment Counsel,, Genworth Financial Securities Corp.
Respondent Lawyers(s): Joel M. Wertman, Theodore C. Peters
Arbitrator(s): John A. Scudiero, Micalyn S. Harris, Theresa R. Joyner
Hearing Site: Newark, NJ
| | $1,623,900 |
| 11-03805 | 05/18/2012 | Claimant(s): William Macdonald
Claimant Lawyers(s): Theodore C. Peters
Respondent(s): Retirement Capital Group Securities
Respondent Lawyers(s): C. William Pollock
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
| | |
| 08-01969 | 05/25/2011 | Claimant(s): Shirley Enlow, Ron L. Enlow Trust
Claimant Lawyers(s): Terry J. Garrett
Respondent(s): Charles Campbell, Wilbanks Securities.
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Phil E. Macy, Richard L. Andeel, Glenn E. Johnson
Hearing Site: Oklahoma City, OK
| | $0 |
| 09-05641 | 03/18/2011 | Claimant(s): Andrew Michalak
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Salvatore Capizzi, Sewell Frey, American Investors Company, Dunham & Associates Investment Counsel, Dunham Trust Company
Respondent Lawyers(s): Joseph D. Edmondson, Stephen B. Stern, Theodore C. Peters
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $2,702,800 |
| 07-02737 | 03/18/2008 | Claimant(s): Melanie Bruno
Claimant Lawyers(s): Milton Fried
Respondent(s): AXA Advisors
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Walter S. Weiss, James H. Frank, Louise A. Berberian
Hearing Site: Los Angeles, CA
| | $0 |
