| 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 |
