| 22-01327 | 11/20/2024 | Claimant(s): Carlina Rodriguez
Claimant Lawyers(s): Nico Banks
Respondent(s): SW Financial
Respondent Lawyers(s): Axos Clearing
Arbitrator(s): George G. Kurschner, Richard W. Epstein, Robert J. Buchner
Hearing Site: Boca Raton, FL
|  | $200,400 |
| 22-02586 | 08/23/2024 | Claimant(s): Alan Taylor, Albert Konetzni, Allen Bealer, Charles Woods, Christopher Splint, Constantino Gabrie, Daniel Smith, David Parta, David Shipman, David Thompson, Doug Austin, Eddie Yaklin, George Economos, Gerald Nelson, Guy Tiner, Huxley Richardson, John Friesen, John Griffin, John Restivo, John Ritzenthaler, John Trobaugh, Larry Pitts, Linda Dahl, Mitchell Dorfman, Paul Randall, Robert Bushman, Robert Pollard, Robert Tobey, Roger Kriete, Ronald Chernenko, Shirley Konetzni, Stephen Collins, Steve Huddleston, Thomas Riddle, Thomas Rothe, Thomas Skjold
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SW Financial
Respondent Lawyers(s): Bruce Boyle
Arbitrator(s): David Aaron DeSoto, Brucus Owdley, Nile Bailey Copeland
Hearing Site: Houston, TX
| | $13,476,100 |
| 23-01389 | 07/16/2024 | Claimant(s): David Hartmann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): David Page, SW Financial
Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page
Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank
Hearing Site: New York, NY
| | $135,000 |
| 22-01195 | 08/30/2023 | Claimant(s): James Fayssoux, Sr.
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): SW Financial
Respondent Lawyers(s): Axos Clearing
Arbitrator(s): Roger C. Benson, Bernadette F. Rasmussen, William Finley Hamel
Hearing Site: Columbia, SC
| | $3,193,550 |
| 19-03796 | 06/02/2020 | Claimant(s): Josephine Chien
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): SW Financial
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | $23,175 |
