| 21-01354 | 02/16/2023 | Claimant(s): Sean Caston
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Andrew S. May
Arbitrator(s): Roberta Haft, Ronald L. Cameron, Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 21-02603 | 02/16/2023 | Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
|  | Expungement |
| 21-02390 | 02/16/2023 | Claimant(s): Don and Miki Rimmer Revocable Trust, Telecomunications Network Consultants
Claimant Lawyers(s): August M. Iorio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Monica I. Salis, Susan J Jones, Eric Mealus
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01649 | 02/16/2023 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): James V. Noblett
Respondent(s): Frank Weiss
Respondent Lawyers(s): Frank Corey Weiss
Arbitrator(s): Michael J. Meeusen
Hearing Site: Syracuse, NY
| | |
| 22-01708 | 02/15/2023 | Claimant(s): Kenneth Busey
Claimant Lawyers(s): Kenneth W. Busey
Respondent(s): Brex Treasury
Respondent Lawyers(s): Edrei G. Swanson
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $0 |
| 22-00309 | 02/15/2023 | Claimant(s): Lei Wang
Claimant Lawyers(s): Lei Wang
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mario H. Metzger, Andrew M. Mintzer, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $40,375 |
| 22-00844 | 02/15/2023 | Claimant(s): Philip Wohl
Claimant Lawyers(s): Phil Wohl
Respondent(s): Ron Lissak, Catapult Advisors LLC
Respondent Lawyers(s): Ron Matthew Lissak
Arbitrator(s): Kevin C. Coleman, Wrally John Dutkiewicz, Jonathan Polland
Hearing Site: San Francisco, CA
| | |
| 22-00712 | 02/15/2023 | Claimant(s): Stephen Peiffer
Claimant Lawyers(s): Jon-Jorge Aras
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Jim Geiger, Lisette Lazinger Tarragano, George Aleman
Hearing Site: Philadelphia, PA
| | |
| 22-01992 | 02/15/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Valerie Holder
Respondent(s): Siria Pinkston
Respondent Lawyers(s): Siria Pylar Pinkston
Arbitrator(s): Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | |
| 22-00358 | 02/14/2023 | Claimant(s): Michael Garrette
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Maurice M. Feller, Mimi B. Osiason, Kathy A. Tatone
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
