| 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 |
| 17-00905 | 09/26/2017 | Claimant(s): John Serwatka
Claimant Lawyers(s): John A. Serwatka
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Michael James Malone
Hearing Site: Cleveland, OH
| | $368 |
| 16-02219 | 04/19/2017 | Claimant(s): Troy Johnson
Claimant Lawyers(s): Troy William Johnson
Respondent(s): Kathie Foreman, Samuel Foreman
Respondent Lawyers(s): Kathie Lee Foreman, Samuel Herbert Foreman
Arbitrator(s): Michael James Malone
Hearing Site: Detroit, MI
| | Expungement |
| 13-03760 | 07/07/2015 | Claimant(s): Larry Baber
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Anthony Manaia, Edward Hindman, Robert Copus, Intervest International Corporation, Intervest International Equities Corp.
Respondent Lawyers(s): David M. Saperstein, Mark L. Kowalsky
Arbitrator(s): Robert J. Scafuri, Mark Wietchy, Michael James Malone
Hearing Site: Detroit, MI
| | $40,000 |
| 09-04037 | 03/08/2011 | Claimant(s): Louis Bortolussi, Luanne Schafer, Nina Bortolussi
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Ameriprise Financial Services., William Bynum
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, Michael James Malone
Hearing Site: Detroit, MI
| | $30,000 |
