| 22-02159 | 10/20/2023 | Claimant(s): Hyder Cheema
Claimant Lawyers(s): Hyder Cheema
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
|  | Dismissed by Rule 12212© |
| 23-00663 | 10/17/2023 | Claimant(s): Latrice Osamor
Claimant Lawyers(s): Latrice A. Osamor
Respondent(s): First Command Brokerage Services.
Respondent Lawyers(s): Adam C. Pollet
Arbitrator(s): Douglas Earl McLaren, Julius P. Terrell, Alan Barry Cohen
Hearing Site: Washington, DC
| | $400 |
| 23-01323 | 10/11/2023 | Claimant(s): Anjali Aiyappa, Ashok Aiyappa, Kavitha Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Gregory Nerantzis, Merrill Lynch Pierce Fenner & Smith Inc., Peter Ambrose
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): David Paul Clark, Michael James Malone, Raymond Winston Suarez
Hearing Site: Washington, DC
| | Dismissed by Rule 12504 |
| 22-00634 | 03/30/2023 | Claimant(s): Flaubert Mbongo
Claimant Lawyers(s): Flaubert Mbongo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Richard P. Regan, Yvette C. Hatfield, Raymond Winston Suarez
Hearing Site: Washington, DC
| | $0 |
| 22-02345 | 02/28/2023 | Claimant(s): John and Christine Stewart
Claimant Lawyers(s): Christine Stewart
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Laura A. Kaster
Hearing Site: Washington, DC
| | $19 |
| 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 |
| 20-01614 | 11/29/2022 | Claimant(s): Joan Washington
Claimant Lawyers(s): Joan B. Washington
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Douglas Earl McLaren, Elizabeth Louise Carswell, Jacqueline A Tran
Hearing Site: Washington, DC
| | Expungement |
| 22-00240 | 11/16/2022 | Claimant(s): Geoffrey Githaiga
Claimant Lawyers(s): Geoffrey Githaiga
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
| 21-00194 | 08/25/2022 | Claimant(s): Brigitte Sodhi, Sukhinder Sodhi
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Douglas Earl McLaren, Richard H. Porter, Edward Paul Gibson
Hearing Site: Washington, DC
| | Expungement |
| 20-03257 | 07/27/2022 | Claimant(s): Ashok Aiyappa, Varalakshmi Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Mary E. Woytek, Karen L. Crump-Wilson, Jeffrey Axelrad
Hearing Site: Washington, DC
| | $0 |
