| 19-02991 | 12/17/2021 | Claimant(s): Sandra Kim
Claimant Lawyers(s): Brent D. Meyer
Respondent(s): Anthony Bonafede, James Lamont, Joe Miller, Scott Heising, Lamont Financial Services
Respondent Lawyers(s): Edward Zusman, Michael P. Ring
Arbitrator(s): Helen Marinak Blohm, Lester Friedman, Mary H. Evans
Hearing Site: San Francisco, CA
|  | Expungement |
| 20-02116 | 12/17/2021 | Claimant(s): The Evan Cole Revocable Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Ronald L. Cameron, Richard M. Norman, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-01175 | 12/16/2021 | Claimant(s): John Palombo
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 21-00082 | 12/16/2021 | Claimant(s): James Bales
Claimant Lawyers(s): James Cosby
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael West
Arbitrator(s): Edward R. Hipp, Lita S Menkin, Gordon M. Wase
Hearing Site: Norfolk, VA
| | |
| 19-00416 | 12/16/2021 | Claimant(s): Huxley Richardson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Aleksandr Osaulenko, Carmine Berardi
Respondent Lawyers(s): Aleksandr Osaulenko, Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Craig Butterworth, Steven Akiba Swernofsky
Hearing Site: San Francisco, CA
| | $280,676 |
| 20-02094 | 12/16/2021 | Claimant(s): William Barrett, William G. Barrett Roth IRA
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Ausdal Financial Partners., Sentinus-Halo Securities
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Tracy L. Allen, Sally J. Wiggins, Charles Kahn
Hearing Site: Milwaukee, WI
| | Expungement |
| 19-02993 | 12/16/2021 | Claimant(s): Mark Pflederer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Clifford Reid, Edward Rudiger, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Michael F. Jordan, Michele Braun, Pawan Bonner
Hearing Site: Chicago, IL
| | $0 |
| 20-03100 | 12/15/2021 | Claimant(s): Toni Iannarelli
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Andrea D. Snowden
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 21-00195 | 12/15/2021 | Claimant(s): William Valenti
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 21-00703 | 12/15/2021 | Claimant(s): Grant Blindbury
Claimant Lawyers(s): Edward Scott Zusman
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Sarah J. Kreisman
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
