18-01094 | 04/03/2019 | Claimant(s): Veralynn Starostecki Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Sagepoint Financial. Respondent Lawyers(s): Bradley A. Fishman Arbitrator(s): Douglas Earl McLaren Hearing Site: Washington, DC
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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
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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
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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
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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 |