| 24-00692 | 11/27/2024 | Claimant(s): Marie Mangin
Claimant Lawyers(s): John Mangin
Respondent(s): OneAmerica Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Joyce A. Mitchell, Nalini Iyer, Joel Miller
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 23-01975 | 10/01/2024 | Claimant(s): Gregory Buckis
Claimant Lawyers(s): Brandon Dei
Respondent(s): Francis Carson, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Christopher M. McMurray, Randy Jeff Branitsky, Kiran Nasir Gore
Hearing Site: Washington, DC
| | $0 |
| 23-00587 | 09/13/2024 | Claimant(s): Carol Parks
Claimant Lawyers(s): Jason Doss
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon M. Wase, Armand Philip Lione, Julius P. Terrell
Hearing Site: Washington, DC
| | Expungement |
| 23-01298 | 07/11/2024 | Claimant(s): Paul Gerlach
Claimant Lawyers(s): Shawn P. George
Respondent(s): Charles Knott, Cort Meinelschmidt, Capital Investment Group., Sentinel Capital Solutions Inc
Respondent Lawyers(s): Jonathan A. Barnes, Victor E. Cretella III
Arbitrator(s): Geoffrey A. Drucker, James Pauli, Allan David Poteshman
Hearing Site: Washington, DC
| | $996,072 |
| 23-02177 | 06/20/2024 | Claimant(s): Zhanling Liu
Claimant Lawyers(s): W Scott Greco
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | $65,322 |
| 23-01919 | 04/09/2024 | Claimant(s): Cyrus Desai
Claimant Lawyers(s): Meher C. Desai
Respondent(s): William Young, Grove Point Investments
Respondent Lawyers(s): Garry T. Stevens, Jr., Richard A. D'Amura
Arbitrator(s): Christopher M. McMurray, Luba Shur, Kiran Nasir Gore
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 23-01880 | 03/15/2024 | Claimant(s): Janice DeMocker
Claimant Lawyers(s): James Brian DeMocker
Respondent(s): Morgan Stanley, Teri Kelley
Respondent Lawyers(s): Christine Kendrick
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | Expungement |
| 23-03161 | 03/08/2024 | Claimant(s): Akin Adeniji-Bello
Claimant Lawyers(s): Akin Adeniji-Bello
Respondent(s): CBOE Trading.
Respondent Lawyers(s): Jennifer L. Golding
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
| | $0 |
| 23-02615 | 03/01/2024 | Claimant(s): John Jakiun
Claimant Lawyers(s): John E Jakiun
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Samantha B. Kats
Arbitrator(s): Laura A. Kaster
Hearing Site: Washington, DC
| | $325 |
| 23-00052 | 12/04/2023 | Claimant(s): Wallace Suku
Claimant Lawyers(s): Wallace W. Suku
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard E. Lauziere, Peter H. Goldberg, Ronald Kalungi
Hearing Site: Washington, DC
| | $0 |
