| 22-01708 | 02/15/2023 | Claimant(s): Kenneth Busey
Claimant Lawyers(s): Kenneth W. Busey
Respondent(s): Brex Treasury
Respondent Lawyers(s): Edrei G. Swanson
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
|  | $0 |
| 21-01131 | 03/17/2022 | Claimant(s): Maria Muessen
Claimant Lawyers(s): Kyle Kulzer
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $0 |
| 21-01274 | 09/22/2021 | Claimant(s): Hailey Woolf ESA, Hailey Woolf UTMA, Walker Woolf ESA, Walker Woolf UTMA, Melissa Woolf Roth IRA, Melissa Woolf r/o IRA, Steven Woolf Roth IRA, Steven & Melissa Woolf Joint
Claimant Lawyers(s): Steven Woolf
Respondent(s): Ameriprise Financial Services., Wells Fargo Clearing Services, Jonathan Mirer, Michael Swinehart
Respondent Lawyers(s): Jeffery D. Rodgers, Sydney H. Crowder
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
| | $0 |
| 21-00230 | 07/09/2021 | Claimant(s): Austin Jones
Claimant Lawyers(s): Austin Jones
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $38 |
| 19-02224 | 04/07/2020 | Claimant(s): Jose Lorenzo and Rosalia Torres
Claimant Lawyers(s): Marcos O. Valls-Sanchez
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Viviana Aldous
Arbitrator(s): Joyce A. Mitchell
Hearing Site: San Juan, PR
| | Settlement |
| 19-01097 | 02/13/2020 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Alexys Mckenzie, Janet Bentley-Ewers, Joquinn Sadler, Raymond, James & Associates., IFS Securities
Respondent Lawyers(s): Brandy N. Pikus, Richard E. Brodsky
Arbitrator(s): Steven R. Bralove, Joyce A. Mitchell, Barbara Hill Bink
Hearing Site: Washington, DC
| | Dismissed by Rule 12206/12504 |
| 18-01846 | 02/07/2019 | Claimant(s): Anna Bjornson, Steven Bjornson
Claimant Lawyers(s): Anna Bjornson, Steven Bjornson
Respondent(s): Gary Gallagher, Voya Financial Advisors.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | Expungement |
| 17-03066 | 03/22/2018 | Claimant(s): Borhan Darmal
Claimant Lawyers(s): Borhan Darmal
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $310 |
| 13-00024 | 10/28/2013 | Claimant(s): Patricia Armstrong
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Raymond James Financial Services., Morgan Stanley & Co.
Respondent Lawyers(s): Terrence A. Bostic, William A. Hohauser
Arbitrator(s): Douglas Earl McLaren, Joyce A. Mitchell, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 11-01531 | 02/16/2012 | Claimant(s): Lawrence Glaser, Benjamin Glaser, Erin Glaser, Hannah Glaser, Kimberly Glaser
Claimant Lawyers(s): Simon Kogan
Respondent(s): Edmund Stephan, Jonathan Legg, Morgan Stanley & Co.
Respondent Lawyers(s): Edmund Stephan, Joseph C. Coates
Arbitrator(s): Louis Paul Sitnik, Joyce A. Mitchell, Mark R. Joelson
Hearing Site: Washington, DC
| | Expungement |
