19-03014 | 12/22/2021 | Claimant(s): Nuha Rukieh Claimant Lawyers(s): Dennis Murray Respondent(s): Andrey Ilyasov, Ameriprise Financial Services Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Patrick R. Sughroue, Sandra Jo Baumchen, Sheldon Jacob Stark Hearing Site: Detroit, MI
| | $0 |
20-01066 | 12/22/2021 | Claimant(s): Edward Newman Claimant Lawyers(s): Edward K. Newman Respondent(s): Aja Hallin, Beth Kirkland, Elizabeth Roberts, Wells Fargo Clearing Services, Kevin Smith, Sanford Smith, Theresa Machi, Tomm Hudson Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Mary Margaret Bush, David I. Levine, Christopher Cother Powers Hearing Site: San Francisco, CA
| | $0 |
20-03811 | 12/22/2021 | Claimant(s): Matthew Soja, Sharon Soja Claimant Lawyers(s): Howard M. Rosenfield Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities. Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
21-01763 | 12/22/2021 | Claimant(s): Qingning Li Claimant Lawyers(s): Qingning Li Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Lawrence R. Mills Hearing Site: San Francisco, CA
| | $0 |
19-01192 | 12/21/2021 | Claimant(s): Ionia Bedrosian, Shari Turnbull Claimant Lawyers(s): Lawrence R. Gelber Respondent(s): Diana Ceylan, Oppenheimer & Co.. Respondent Lawyers(s): Justin M. Garbaccio Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY
| | Expungement |
20-03841 | 12/21/2021 | Claimant(s): Edward Denton Claimant Lawyers(s): Edward E Denton Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Paula K. Konikoff, Erin Person, Linda Wilde Hearing Site: Los Angeles, CA
| | Expungement |
19-01766 | 12/21/2021 | Claimant(s): Gail Higashi, Kevin Higashi Claimant Lawyers(s): Lisa Anne Smith Respondent(s): Wells Fargo Clearing Services, Ruth Transue Respondent Lawyers(s): Matthew P. Fischer Arbitrator(s): Jay Lawrence Witkin, David S. Eisenberg, Bryan Thomas Di Lella Hearing Site: Phoenix, AZ
| | $300 |
21-01278 | 12/21/2021 | Claimant(s): Hajime Amaya Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Unionbanc Investment Services Respondent Lawyers(s): Neal S. Robb Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
21-00844 | 12/20/2021 | Claimant(s): Donald Murray, Patricia Murray Claimant Lawyers(s): Dietrich P. Epperson Respondent(s): Kimberly Enders, Steven Enders, Cetera Advisor Networks LLC, Summit Brokerage Services. Respondent Lawyers(s): Samuel P. Mauch Arbitrator(s): Lee Hornberger Hearing Site: Detroit, MI
| | Expungement |
21-01960 | 12/20/2021 | Claimant(s): Nina Gould, Quinn Gold Claimant Lawyers(s): Nina Gould Respondent(s): Webull Financial LLC Respondent Lawyers(s): Danielle R. Gill Arbitrator(s): George Richard Najjar Hearing Site: San Diego, CA
| | $0 |