| 23-00563 | 02/12/2024 | Claimant(s): Steven Katz
Claimant Lawyers(s): Kevin Paule
Respondent(s): Wells Fargo Clearing Services, Benjamin F. Edwards & Company.
Respondent Lawyers(s): Jason Kempf, Leo Peraza
Arbitrator(s): John G. Sciandra, Wendi Blake, Natalie Paskiewicz
Hearing Site: Tampa, FL
|  | Expungement |
| 22-01309 | 02/12/2024 | Claimant(s): Christine Moullet
Claimant Lawyers(s): Lars Soreide
Respondent(s): IFP Advisors, IFP Securities
Respondent Lawyers(s): Peter Lindholm
Arbitrator(s): John P. Cullem, Philip Whitworth Engle, Lisa J. Cappalli
Hearing Site: Orlando, FL
| | Expungement |
| 23-00173 | 02/12/2024 | Claimant(s): Carol Simard, Kenyon Simard
Claimant Lawyers(s): David A Weintraub
Respondent(s): Kevin Hobbs
Respondent Lawyers(s): Kevin Andrew Hobbs
Arbitrator(s): Steven E. Eisenberg, Stuart Bruce Klein, Howard M Forman
Hearing Site: Boca Raton, FL
| | $525,000 |
| 23-02242 | 02/12/2024 | Claimant(s): Jonathan Socha
Claimant Lawyers(s): Jonathan Socha
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Denver, CO
| | $0 |
| 23-01746 | 02/12/2024 | Claimant(s): Terry Hopkins
Claimant Lawyers(s): Terry Hopkins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 20-01555 | 02/09/2024 | Claimant(s): The Amvona Fund
Claimant Lawyers(s): Ian J. McLoughlin
Respondent(s): Christopher Pento, Joseph Vencil, Clear Street
Respondent Lawyers(s): Gayle R. Klein
Arbitrator(s): James E. Kleinbaum, Catherine Stewart, Michael A. Orticelle
Hearing Site: Albany, NY
| | $0 |
| 23-00497 | 02/08/2024 | Claimant(s): Ibrahem Abdou
Claimant Lawyers(s): Ibrahem Abdou
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | $0 |
| 23-02507 | 02/07/2024 | Claimant(s): GRM Trust No. 12-96
Claimant Lawyers(s): Heidi A. Engel
Respondent(s): Joel Radakovitz
Respondent Lawyers(s): Joel John Radakovitz
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $300 |
| 22-00147 | 02/07/2024 | Claimant(s): Mamadi Kourouma
Claimant Lawyers(s): Mamadi Kourouma
Respondent(s): Webull Financial
Respondent Lawyers(s): Christina M. Rieker
Arbitrator(s): Michael A. Meyer, James A. McIntosh, Alan Daniel Hall
Hearing Site: Nashville, TN
| | Dismissed by Rule 12504(b) and 12514 |
| 22-00661 | 02/05/2024 | Claimant(s): Charles Roth, Jennifer Roth, Charles Roth IRA, Jennifer Roth IRA
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): Patrick Strubbe
Respondent Lawyers(s): R. Bradley Ziegler
Arbitrator(s): David M. Snyder, Alan E. Linden, Ronald Stephen Robins
Hearing Site: Orlando, FL
| | Expungement |
