| 23-01721 | 09/10/2024 | Claimant(s): William Collier
Claimant Lawyers(s): William O. Collier
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Joyce A. Mitchell, David Paul Clark, David Ivan Brochstein
Hearing Site: Richmond, VA
|  | $0 |
| 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 |
| 21-02253 | 03/04/2022 | Claimant(s): Almaz Tesfamariam
Claimant Lawyers(s): Almaz Tesfamariam
Respondent(s): John Lavalle, William Auriemma, Wells Fargo Clearing Services, Llc
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | $0 |
| 19-01707 | 12/10/2020 | Claimant(s): Karen Grant
Claimant Lawyers(s): Karen Grant
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): David Paul Clark, Lisa Blunk Johnson, Peter Matthew Clyne
Hearing Site: Washington, DC
| | $0 |
| 18-01976 | 06/20/2019 | Claimant(s): Zephyr Fund
Claimant Lawyers(s): Rod Holder
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph Siders
Arbitrator(s): Jeffry L. Perlman, Kelli J. Jareaux, David Paul Clark
Hearing Site: Washington, DC
| | $12,800 |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 13-00039 | 06/19/2018 | Claimant(s): Estate of Marion M. Young, Estate of Seymour R. Young, The Young Family Trust
Claimant Lawyers(s): Ford C. Ladd
Respondent(s): Christopher Cunningham, Wells Fargo Advisors, Fulcrum Securities
Respondent Lawyers(s): Andrew R. Park, Christopher Matthew Cunningham, William P. Behrens
Arbitrator(s): David Paul Clark, Carl William Noller, Patricia H. Latham
Hearing Site: Washington, DC
| | $127,000 |
| 16-03467 | 02/27/2018 | Claimant(s): Kimberly Lambert
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | Expungement |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 14-00873 | 12/30/2014 | Claimant(s): Christopher Rausch
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): David Paul Clark
Hearing Site: Wilmington, DE
| | $0 |
