| 18-01333 | 02/05/2019 | Claimant(s): Jeffrey Lavin, Mark Sudol
Claimant Lawyers(s): Chad Weaver
Respondent(s): Sagepoint Financial., National Planning Corporation
Respondent Lawyers(s): Bradley Fishman, Scott R. Furbush
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | |
| 17-01190 | 09/27/2018 | Claimant(s): Stephen Esposito, Spo Holdings
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Louis H. Miron, Theresa R. Joyner, Sidney Seligman
Hearing Site: Newark, NJ
|  | Expungement |
| 18-00541 | 09/19/2018 | Claimant(s): Gabriel Yanez
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial., First Wall Street Corp.
Respondent Lawyers(s): Bradley S. Fishman, Charles Lazzaro
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: San Diego, CA
| | |
| 17-00285 | 05/23/2018 | Claimant(s): Stuart Sherman
Claimant Lawyers(s): Becky Steiger
Respondent(s): Sagepoint Financial., Thomas Goodson, AmeriFlex
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00553 | 03/27/2017 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Darlene R. Gimble
Respondent(s): Sagepoint Financial., American General Securities Incorporated
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles Hoffman, Robert H. Loevin, John Roth Roberts
Hearing Site: Boca Raton, FL
| | |
| 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 |
| 15-03072 | 07/27/2016 | Claimant(s): John Heraty IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David Geake, Sagepoint Financial.
Respondent Lawyers(s): David A. Baugh, Jodi S. Tesser
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 15-01215 | 04/14/2016 | Claimant(s): Anne Mohr, Scott Mohr
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Sagepoint Financial., Michael Santoro
Respondent Lawyers(s): Greg Curley
Arbitrator(s): John H. Fearnow
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-01161 | 03/22/2016 | Claimant(s): Elizabeth Canino, Eugene Canino, Eugene Canino Trust
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Harold McNaughton, Sagepoint Financial.
Respondent Lawyers(s): Amir Tadjedin, Elizabeth Poletti
Arbitrator(s): Susan B. Gans-Smith, Elizabeth Anne Moreno, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates.
Claimant Lawyers(s): Joshua Kons
Respondent(s): Sagepoint Financial., Next Financial Group.
Respondent Lawyers(s): Debra L. Weiss, Greg Curley
Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
