| 21-01800 | 08/24/2023 | Claimant(s): Rudolph Baker
Claimant Lawyers(s): Rudolph Baker
Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher, John Bersin
Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli
Hearing Site: Los Angeles, CA
|  | $0 |
| 22-01103 | 08/01/2023 | Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan
Claimant Lawyers(s): Sanford Mitchell Passman
Respondent(s): Herbert Messick, Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-00154 | 07/31/2023 | Claimant(s): Rami Alrwais
Claimant Lawyers(s): Rami Alrwais
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Barbara M. Zak, Marc David Wilde, Robert D. Coviello
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12511/12212 |
| 22-00084 | 07/31/2023 | Claimant(s): Eric Garofano, The Advisory and Management Group.
Claimant Lawyers(s): Aaron Israels
Respondent(s): Sean McDevitt
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Michael Harrison, Richard Maurice Robinson, McKinley Perkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-02968 | 07/24/2023 | Claimant(s): Jefferey B. Lurner, IRA
Claimant Lawyers(s): Jefferey B. Lurner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 23-00327 | 07/10/2023 | Claimant(s): David Kelly, Elizabeth Ann Kelly
Claimant Lawyers(s): David M Kelly
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 22-00379 | 06/30/2023 | Claimant(s): Vukich Family Trust U/A Dated 07/17/2003
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Hulley, Richard Sanders
Respondent Lawyers(s): Kelly L. Doyle
Arbitrator(s): Barbara M. Zak, Eric Gad Forster, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-01667 | 06/09/2023 | Claimant(s): Jacob Tiab
Claimant Lawyers(s): Jacob Tiab
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, H. Stuart Waxman, Jeffrey Dwayne Robertson
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02879 | 06/02/2023 | Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R Uunderwood
Respondent(s): Andre Ismailyan
Respondent Lawyers(s): Andre Ismailyan
Arbitrator(s): Cynthia B. Stone, Mary M. O'Neil, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
| | Settlement |
| 21-02903 | 05/26/2023 | Claimant(s): Alan Daniels
Claimant Lawyers(s): Alan J. Daniels
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Robert D. Sussin, David Harvey Failer, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Dismissed with Rule 12504 |
