| 18-03530 | 04/12/2019 | Claimant(s): Johnson Andrews
Claimant Lawyers(s): Johnson George Andrews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert A. Cohen, Roger B. Jacobs, Harrison Johnson
Hearing Site: New York, NY
|  | Expungement |
| 17-02270 | 04/12/2019 | Claimant(s): Hassane Abdul-Hak
Claimant Lawyers(s): Hassane Abdul-Hak
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Johnathan M. Sterling
Arbitrator(s): Robert J. Scafuri, Timothy J. Currier, Patrick R. Sughroue
Hearing Site: Detroit, MI
| | Expungement |
| 18-00421 | 04/12/2019 | Claimant(s): SSJD LLC
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-03199 | 04/11/2019 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Dr. Parbhur and Charanjit Singh, Brar Family Partnership, L.P.
Respondent Lawyers(s): Arthur M. Schwartzstein
Arbitrator(s): Neil T. Treger, Brock B. Gordon, Harold Craig Cohen
Hearing Site: Norfolk, VA
| | $0 |
| 18-00211 | 04/11/2019 | Claimant(s): Cletus Gernes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Arthur Richard Tow, Susan M. Sanger, William Joseph Caprathe
Hearing Site: Minneapolis, MN
| | Expungement |
| 16-02059 | 04/10/2019 | Claimant(s): Thomas Whitman
Claimant Lawyers(s): Richard Fosher
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Edward Blumstein, Tina E. Patterson, W. Michael Frazier
Hearing Site: Charleston, WV
| | $74,993 |
| 18-00122 | 04/10/2019 | Claimant(s): Paula Tyler, Trustee Tyler Family Trust
Claimant Lawyers(s): Joseph S. Schuchert
Respondent(s): National Securities Corporation, Folio Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary M. O'Neil, Earl Robert Jordan, Bonnie Chavez
Hearing Site: Los Angeles, CA
| | $0 |
| 17-02289 | 04/09/2019 | Claimant(s): Diane Noia, Michael Noia
Claimant Lawyers(s): Deanna C Besbekos-LaPage
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | Expungement |
| 17-02598 | 04/09/2019 | Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): T. Peter R. Pound
Arbitrator(s): Thomas E. Shuck, Lori A. Coleman, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 18-03189 | 04/09/2019 | Claimant(s): Takako Johnson
Claimant Lawyers(s): Takako Johnson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Solomon Abramov
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | $676 |
