18-01381 | 02/12/2020 | Claimant(s): Jesse Erdle Claimant Lawyers(s): Kenneth W. Africano Respondent(s): TD Ameritrade. Respondent Lawyers(s): John Stewart Arbitrator(s): Tracy L. Allen, Ralph L. Halpern, L. Paul Kehoe Hearing Site: Buffalo, NY
| | $0 |
18-01404 | 02/11/2020 | Claimant(s): Min Zhao, Tianjian Sun Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): TD Ameritrade. Respondent Lawyers(s): John D. Stewart Arbitrator(s): Hearing Site: New York, NY
| | $75,000 |
19-02482 | 02/07/2020 | Claimant(s): Toussaint Abessolo Claimant Lawyers(s): Toussaint R. Abessolo Respondent(s): Robinhood Financial, Robinhood Securities Respondent Lawyers(s): Jonathan J. Brennan Arbitrator(s): Robert E. Anderson Hearing Site: New York, NY
| | $260 |
19-02733 | 02/07/2020 | Claimant(s): Thomas Wilson Claimant Lawyers(s): Thomas B. Wilson Respondent(s): Morgan Stanley Respondent Lawyers(s): Christine A. Kendrick Arbitrator(s): Christine L. Stetson Hearing Site: Houston, TX
| | $3,136 |
17-00757 | 02/06/2020 | Claimant(s): Christopher Bosh, Freida Bosh Claimant Lawyers(s): Joe B. Abbey, Ryan K. Bakhtiari Respondent(s): Bradley Dykes, Morgan Stanley, Jeffrey Wiseman Respondent Lawyers(s): Bradford D. Kaufman Arbitrator(s): Robert R. Nursey, G. Maynard Green, C. Sumpter Logan Hearing Site: Dallas, TX
| | $0 |
18-01292 | 02/06/2020 | Claimant(s): Sylvia Ackerman Trust Under Agreement Claimant Lawyers(s): Anthony J. Badway Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Ernesto V. Luzzatto, Peter A. Seibel, Susan Romano Hearing Site: New York, NY
| | $0 |
18-03983 | 02/05/2020 | Claimant(s): Janga Aliminati Claimant Lawyers(s): Lars Kristian Soreide Respondent(s): Suihock Goy, Ni Advisors Respondent Lawyers(s): Douglas B. Martin, Jr. Arbitrator(s): William W. Haskell, Vivian L. Kral, Ronald Chun Hearing Site: San Francisco, CA
| | $0 |
19-00641 | 02/03/2020 | Claimant(s): Louis Colonna Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Ali Mayar, Daniel King, Francis Smookler, Yousuf Saljooki, Brookville Capital Partners, Legend Securities. Respondent Lawyers(s): Brett D. Zinner, Gabriel Iezzoni, Robert M. Bursky, Ross J. Kartez, Salvatore C. Caruso, Yousuf Saljooki Arbitrator(s): Robert J. Scafuri, John W. Eichleay, Mary Kathleen Coleman Hearing Site: Pittsburgh, PA
| | $150,000 |
19-03613 | 01/30/2020 | Claimant(s): Pam Matthews Claimant Lawyers(s): Scott L. Silver Respondent(s): James Heafner Respondent Lawyers(s): James Hal Heafner Arbitrator(s): John Russell Barlow Hearing Site: Charlotte, NC
| | $60,000 |
19-01320 | 01/29/2020 | Claimant(s): Christina Billington as S. Trustee Claimant Lawyers(s): Paul W. Thomas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jaqueline R. Meyers Arbitrator(s): Theodore E. Danciart, Olivia J. Valentine, Bruce Leslie Ishimatsu Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |