| 19-03127 | 01/29/2020 | Claimant(s): Thomas Hallenbeck, Thomas Hallenbeck IRA
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John W. Stalanski
Arbitrator(s): Deanna M. Tuley
Hearing Site: Denver, CO
|  | Dismissed |
| 19-02882 | 01/28/2020 | Claimant(s): Bin Dong
Claimant Lawyers(s): Bin Dong
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | $163 |
| 18-02459 | 01/27/2020 | Claimant(s): Charles Austin, Stanley Baumblatt
Claimant Lawyers(s): Daniel Osborn
Respondent(s): Christopher Sadaka, John Lahoud, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s):
Hearing Site: New York, NY
| | $0 |
| 18-00618 | 01/24/2020 | Claimant(s): Russell Chacon
Claimant Lawyers(s): David Liebrader
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | $0 |
| 18-03741 | 01/24/2020 | Claimant(s): Donna Kun
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Carty & Company.
Respondent Lawyers(s): John J. Heflin
Arbitrator(s): Bill Lamoreaux, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 19-02719 | 01/22/2020 | Claimant(s): Ryan Carlson
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Richard Brown
Respondent Lawyers(s): Richard Lyndon Brown
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $70,570 |
| 17-01086 | 01/22/2020 | Claimant(s): Reuben Nemoto
Claimant Lawyers(s): Mitchell S. Wong
Respondent(s): Chirag Dave, Pacific Financial Partners LLC
Respondent Lawyers(s): Matthew C. Shannon
Arbitrator(s): Barbara M. Anscher, Christopher W. Allick, Michael Craig Butterworth
Hearing Site: Honolulu, HI
| | Settlement |
| 17-01639 | 01/21/2020 | Claimant(s): Angel Pagan, Windy Pagan, AW Investment Corp.
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Scott A. Schweber, Sam Gowin, Randy Jeff Branitsky
Hearing Site: San Juan, PR
| | $1,820,530 |
| 18-04053 | 01/21/2020 | Claimant(s): Barry Cooper
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Andrew Murdoch, Brian Horn, Scott Sadar, Thomas Hamlin, Somerset Securities.
Respondent Lawyers(s): Harris Freedman, Scott L. Mullins, Thomas Hamlin
Arbitrator(s): Muriel Desloovere, Gerald Thomas Harper, David Henry Samson
Hearing Site: Jacksonville, FL
| | $0 |
| 19-00443 | 01/21/2020 | Claimant(s): Jose Medardo Burgos F, Maria Del Carmen G Burgos, Maria Medina-Luna Anaya
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon Levy
Arbitrator(s): Jack Chapline Vaughan, William A. Allen, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
