22-02623 | 09/18/2023 | Claimant(s): Charles Irvine Claimant Lawyers(s): Lars Soreide Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Sandra L. Malek, Franklin Delano Dodge, Blake Rayfield Hearing Site: Phoenix, AZ
| | Expungement |
23-00625 | 09/15/2023 | Claimant(s): Kirk Badii Claimant Lawyers(s): Stephan Louviere Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Morris S. Getzels Hearing Site: Los Angeles, CA
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23-00161 | 09/15/2023 | Claimant(s): Paul Siegel Claimant Lawyers(s): Chelsea Bauer Respondent(s): Morgan Stanley Respondent Lawyers(s): Emily Z. Culbertson Arbitrator(s): Timothy J. Kroll Hearing Site: Phoenix, AZ
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22-01761 | 09/15/2023 | Claimant(s): The Reed Family Trust Claimant Lawyers(s): Jorge Altamirano Respondent(s): Ages Financial Services, Ltd. Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): Linda J. Baer Hearing Site: Manchester, NH
| | $0 |
22-02691 | 09/15/2023 | Claimant(s): Rechard Banks-Davis Claimant Lawyers(s): Rechard Antonio Banks-Davis Respondent(s): Austin Witt, Charles Schwab & Co.. Respondent Lawyers(s): Joseph L. Siders Arbitrator(s): Michael S. Jordan Hearing Site: Chicago, IL
| | $0 |
21-02742 | 09/15/2023 | Claimant(s): Klenell Jensen Claimant Lawyers(s): Brian Edwin Lahti Respondent(s): Daniel Mann, Kyle Kirwan, Cornerstone Wealth Management Respondent Lawyers(s): R. Bradley Ziegler Arbitrator(s): Paul H. Lamboley, David L. Moran, Tina Alison Davis Hearing Site: Salt Lake City, UT
| | Expungement |
21-02571 | 09/14/2023 | Claimant(s): Harold Mellin as Trustee, Suzanne Mellin as Trustee Claimant Lawyers(s): Andrew M. Greenidge Respondent(s): Faith Xenos, Mariner Respondent Lawyers(s): Howard J. Rosenburg Arbitrator(s): Monica I. Salis, William Kent Brown, Daniel Nathan Schatz Hearing Site: Boca Raton, FL
| | Expungement |
23-00184 | 09/14/2023 | Claimant(s): Todd Smith Claimant Lawyers(s): James P Galvin Respondent(s): LPL Financial LLC, Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff, Rochelle Mayfield Arbitrator(s): Michael J Norton Hearing Site: Albuquerque, NM
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22-02451 | 09/13/2023 | Claimant(s): James Williams Claimant Lawyers(s): Christina Z. Vourakis Respondent(s): Cetera Advisor Networks LLC Respondent Lawyers(s): David Smitham Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
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22-02842 | 09/13/2023 | Claimant(s): Sigmund Rogich, Stephen Sameroff, Robert Castiglione & Marilyn Castiglione, The Rogich 2004 Family Irrevocable Trust Claimant Lawyers(s): Sam Schwartz Respondent(s): David Turetzky, Morgan Stanley Respondent Lawyers(s): William D. Briendel Arbitrator(s): Edward F. Zagajeski, Megan Brillault, John Warner Lowe Hearing Site: New York, NY
| | Dismissed by Rule 12206 |