| 23-00270 | 09/06/2024 | Claimant(s): Hollis Kazmann, Thomas Walters
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jacqueline R. Fox, Jeff Kilgore, James Douglas Gaughan
Hearing Site: Houston, TX
|  | Expungement |
| 24-00066 | 07/24/2024 | Claimant(s): Brian Goossen
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): CrowdStreet., Crowdstreet Capital LLC
Respondent Lawyers(s): Gabrielle L. Gould
Arbitrator(s): Jacqueline R. Fox, Catherine Stewart, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | Dismissed by Rule 12200 |
| 23-01508 | 11/30/2023 | Claimant(s): James Immekus
Claimant Lawyers(s): James E. Immekus
Respondent(s): LPL Financial LLC, James Monteverde
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert J. Scafuri, Jacqueline R. Fox, David M. Panko
Hearing Site: Pittsburgh, PA
| | Dismissed by Rule 12206 |
| 22-00728 | 09/12/2023 | Claimant(s): Robert Cappiello
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Jacqueline R. Fox, Sherry R. Wetsch, Allan R. Lazor
Hearing Site: Houston, TX
| | Expungement |
| 21-02261 | 02/06/2023 | Claimant(s): Rahim Jiwa
Claimant Lawyers(s): Ryan Cook
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Jacqueline R. Fox, Denise Ereka Peterson, Vincent Vereen
Hearing Site: Houston, TX
| | Expungement |
| 21-00544 | 12/13/2021 | Claimant(s): Ranjit LoboPrabhu
Claimant Lawyers(s): Ranjit LoboPrabhu
Respondent(s): Charles Schwab & Co.., TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jacqueline R. Fox, Michael S. Yauch, Katherine Parsley
Hearing Site: Houston, TX
| | $0 |
| 18-01201 | 10/23/2020 | Claimant(s): Arthur Bing, Bryan Davis, Holly Easton, Richard Stobbs, Yvonne Mitchell, Zoran Stoyanovich
Claimant Lawyers(s): John S. Chapman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Sharon R. Merriman, Jacqueline R. Fox, Gregory Hunter Mathews
Hearing Site: Columbus, OH
| | $450 |
| 18-03143 | 02/18/2020 | Claimant(s): Dhavid Cooper, Guy Hodgson, Custodian for Dylan Hodgson, Custodian for Hunter Hodgson, Custodian for Matthew Hodgson
Claimant Lawyers(s): Leon H. Horne
Respondent(s): John Durig, Durig Capital Inc.
Respondent Lawyers(s): Justin C. Sawyer
Arbitrator(s): Donald K. Eckhardt, Jacqueline R. Fox, Jeffrey Bruce Bock
Hearing Site: Houston, TX
| | $0 |
| 13-02570 | 07/29/2015 | Claimant(s): Carmella Cummings
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Northstar Financial Partners.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Jeffry M. Bauer, Jacqueline R. Fox, Gary L. Bender
Hearing Site: Detroit, MI
| | Expungement |
| 14-00989 | 06/29/2015 | Claimant(s): Patricia Marshall Revocable Trust
Claimant Lawyers(s): Thomas K. Caldwell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert J. Scafuri, Jacqueline R. Fox, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Expungement |
