| 22-02572 | 03/25/2024 | Claimant(s): Emma Ward
Claimant Lawyers(s): Scott L. Silver
Respondent(s): PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
|  | Expungement |
| 20-00272 | 08/02/2022 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Robert Ford
Respondent Lawyers(s): Robert Kent Ford
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
| | |
| 19-01508 | 09/27/2021 | Claimant(s): Diane Mindrum
Claimant Lawyers(s): James P Lucking
Respondent(s): David Wolfe, Aaron Capital Incorporated
Respondent Lawyers(s): James E. Bingham
Arbitrator(s): Daniel A. Seiver, Mark T Risner, Arnold Edward Landsman
Hearing Site: Los Angeles, CA
| | $178,814 |
| 20-03439 | 04/09/2021 | Claimant(s): Konstantin Kaplun
Claimant Lawyers(s): Konstantin Kaplun
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
| 19-03675 | 01/22/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Martinez
Respondent Lawyers(s): Michael Anthony Martinez
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
| | |
| 16-00688 | 03/26/2020 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Ghalib Kanji
Respondent Lawyers(s): Joseph M. Lovretovich
Arbitrator(s): W. Alex King, Kendall C. Reed, Mark T Risner
Hearing Site: Los Angeles, CA
| | |
| 18-03421 | 10/14/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Eric R. Feld
Respondent(s): John Wyshak
Respondent Lawyers(s): John Charles Wyshak
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
| | |
| 19-00210 | 06/04/2019 | Claimant(s): Tradestation Securities.
Claimant Lawyers(s): Steven M Greenbaum
Respondent(s): Abhi Batra
Respondent Lawyers(s): Abhi Batra
Arbitrator(s): Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | $0 |
| 17-03132 | 07/27/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E Murtagh
Respondent(s): Michael Frischman
Respondent Lawyers(s): Michael Bruce Frischman
Arbitrator(s): Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | |
| 16-02369 | 03/05/2018 | Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | Expungement |
