| 19-03520 | 05/04/2022 | Claimant(s): Abbas Azimi
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
|  | Expungement |
| 21-00303 | 04/11/2022 | Claimant(s): Greg Zinser, on behalf of his IRA
Claimant Lawyers(s): Samuel Benton Edwards
Respondent(s): LPL Financial LLC, Rodd Miller
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | Expungement |
| 21-00963 | 03/28/2022 | Claimant(s): Edwin McClure III
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 21-02214 | 03/23/2022 | Claimant(s): Danielle Stanton
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey L. Vasko
Arbitrator(s): Robert A. Lakosil, Kirtley M. Thiesmeyer, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 21-01733 | 03/09/2022 | Claimant(s): Benjamin Lau
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 21-01431 | 02/04/2022 | Claimant(s): John Czajkowski
Claimant Lawyers(s): Chrisitina Vourakis
Respondent(s): Securities America.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Jo-Ann C. Little, Randy R. Maher, Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 21-02458 | 02/02/2022 | Claimant(s): Patricia Mary Taylor Trust
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Christopher Taylor, Kestra Investment Services
Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura
Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 19-02176 | 01/28/2022 | Claimant(s): Theresa Irene Deukmedjian IRA, Deukmedjian Revocable Family Trust
Claimant Lawyers(s): Nicholas Berg
Respondent(s): David Pathe, in his capacity as Atty, Charles Schwab & Co.., David Pathe IRA Contributory, The David Pathe Trust dtd 7/17/2002
Respondent Lawyers(s): George C. Miller, Gilbert R. Serota
Arbitrator(s): Mark R. Lee, Robert B. Hansohn, Janice L. Sperow
Hearing Site: San Diego, CA
| | $0 |
| 21-01960 | 12/20/2021 | Claimant(s): Nina Gould, Quinn Gold
Claimant Lawyers(s): Nina Gould
Respondent(s): Webull Financial LLC
Respondent Lawyers(s): Danielle R. Gill
Arbitrator(s): George Richard Najjar
Hearing Site: San Diego, CA
| | $0 |
| 21-01729 | 12/17/2021 | Claimant(s): Benjamin Lau
Claimant Lawyers(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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