| 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 |
