18-00066 | 06/12/2019 | Claimant(s): Mary Motsay, Michael Motsay, Michael L. Motsay, IRA and Accounts Claimant Lawyers(s): Michael Motsay Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Kenneth R. Starr, Philip L. Manczak, James Mathieu Hearing Site: Tampa, FL
| | Expungement |
18-04248 | 06/12/2019 | Claimant(s): Yatin Sampat Claimant Lawyers(s): Yatin Sampat Respondent(s): Barclays Capital Inc., optionsXpress. Respondent Lawyers(s): David G. Russell, Joseph L. Siders Arbitrator(s): Susan C. Lushing, Marguerite B. Filson, Keely D. Parr Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
18-03653 | 06/11/2019 | Claimant(s): Young Lee Claimant Lawyers(s): Young S. Lee Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Richard E. Lauziere Hearing Site: Baltimore, MD
| | $0 |
18-02764 | 06/10/2019 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Garrett R. Wynne Respondent(s): Yujian Gao Respondent Lawyers(s): Yujian Gao Arbitrator(s): Ann C. Northern, Rory M. McLaughlin, Justin T Kelton Hearing Site: New York, NY
| | $0 |
18-02138 | 06/10/2019 | Claimant(s): Esther Ackermann, Pauline Ackermann Claimant Lawyers(s): Robert Gonser Respondent(s): Ken Carter, RBC Capital Markets LLC Respondent Lawyers(s): Donald Davidson, Trent M. Latta Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, G. E. Craig Doupe Hearing Site: Seattle, WA
| | Expungement |
17-01069 | 06/07/2019 | Claimant(s): Ira Adelman, Robin Adelman Claimant Lawyers(s): Ernest Sasso Respondent(s): Stephen Walker Respondent Lawyers(s): Denis Dice Arbitrator(s): John J. Jordan, Doris J. Dabrowski, Mary S. Wyatte Hearing Site: Philadelphia, PA
| | $0 |
17-03198 | 06/07/2019 | Claimant(s): Carol Connell, Michael Connell, Eugene P. Connell Irrevocable Ins Trust Claimant Lawyers(s): Kim Lauren Michael Respondent(s): Ardell Roan, Barry Connell, Denise Kelly, Morgan Stanley & Co., George Batelli, Ginny Piscatay, Jeffrey Crystal, Jennifer Salmon, Richard Less Respondent Lawyers(s): Adam Kauff, Barry Franklin Connell, Corey Hohnbaum, Ginny Piscatay Arbitrator(s): Charles L. Prothero, Joan M. Traub, Sam Antar Hearing Site: New York, NY
| | Expungement |
18-03867 | 06/07/2019 | Claimant(s): Beverly Assmar, Richard Assmar, Beverly Assmar Selectrust U/A 12/18/2012, Richard Assmar Selectrust U/A 12/18/2012 Claimant Lawyers(s): Mark S. Simms Respondent(s): Comerica Securities. Respondent Lawyers(s): Todd A. Holleman Arbitrator(s): Elena G. Rodriguez, Christopher J. Klein, Peter A. Roche Hearing Site: Miami, FL
| | Dismissed by Rule 12206/12504 |
18-01866 | 06/06/2019 | Claimant(s): Alvin Mac Aulay IRA Claimant Lawyers(s): Richard A. Lewins Respondent(s): Kyle Walters, Scott Hammel, Atlas Wealth Advisors Respondent Lawyers(s): Jon M. Stanfield Arbitrator(s): Nicole T. LeBoeuf Hearing Site: Dallas, TX
| | Expungement |
17-01434 | 06/05/2019 | Claimant(s): 0 Claimant Lawyers(s): 0 Respondent(s): Gregory Bauer, Waddell & Reed Respondent Lawyers(s): Gregory R. Bauer, Richard H. Kuhlman Arbitrator(s): Richard W. Dissen Hearing Site: Pittsburgh, PA
| | $420,824 |