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 |