| 24-01196 | 09/26/2024 | Claimant(s): Karan Patel
Claimant Lawyers(s): Karan B. Patel
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Gregory G. Gocek
Hearing Site: Minneapolis, MN
|  | $88 |
| 23-03103 | 06/27/2024 | Claimant(s): Jamar Evans
Claimant Lawyers(s): Jamar Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Indianapolis, IN
| | $0 |
| 22-02854 | 05/24/2024 | Claimant(s): Andrew Channon, David Parker, Joel Meyer, Larry Madsen, Paul Kennedy
Claimant Lawyers(s): Brandon Dei
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Gregory G. Gocek, Henry George Grendell, Michael Jay Teitelbaum
Hearing Site: Cleveland, OH
| | $0 |
| 23-01074 | 05/23/2024 | Claimant(s): Kay Klein, Roy Klein
Claimant Lawyers(s): Christopher Lufrano
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Sal Presti, Gregory G. Gocek, Debra J. Tucker
Hearing Site: Chicago, IL
| | Expungement |
| 20-03869 | 08/08/2022 | Claimant(s): Bonnie K. Johnston, Robert E. Johnston
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lynn Hirschfeld Brahin, Gregory G. Gocek, Joan M. Esserman
Hearing Site: St. Louis, MO
| | Expungement |
| 21-01158 | 02/28/2022 | Claimant(s): Xuehong Sun
Claimant Lawyers(s): Xuehong Sun
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 20-04209 | 05/10/2021 | Claimant(s): Richard Lozano
Claimant Lawyers(s): Richard R. Lozano
Respondent(s): Edward Balmes, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Gregory G. Gocek
Hearing Site: St. Louis, MO
| | $2,050 |
| 20-03832 | 03/08/2021 | Claimant(s): Jeffrey Sadur
Claimant Lawyers(s): Jeffrey R. Sadur
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 15-01415 | 04/25/2018 | Claimant(s): Richard Long
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): John Telfer, Stephen Grivas
Arbitrator(s): Gregory G. Gocek
Hearing Site: Kansas City, MO
| | $49,223 |
| 16-02511 | 03/27/2018 | Claimant(s): William Alford
Claimant Lawyers(s): Carl E. Patrick
Respondent(s): G. Parry, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Ellen Holland Keller, Gregory G. Gocek, Richard S. Hines
Hearing Site: Cleveland, OH
| | $0 |
