| 22-00988 | 02/02/2024 | Claimant(s): Carolyn Distler, Robert Distler
Claimant Lawyers(s): Erin M. Phillips
Respondent(s): Edward Jones, Paul Jansen
Respondent Lawyers(s): Matthew E. Johnson
Arbitrator(s): Jeffry M. Bauer, A.J. Seier, MaryJane Rabier
Hearing Site: St. Louis, MO
|  | Expungement |
| 22-02116 | 02/02/2024 | Claimant(s): Dean Reeves
Claimant Lawyers(s): William Thomas Lacy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | $0 |
| 23-02244 | 02/01/2024 | Claimant(s): Arun Chayra
Claimant Lawyers(s): Arun Chayra
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Matthew H. Ladner
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | $0 |
| 23-00573 | 01/31/2024 | Claimant(s): Manoj Bhartiya
Claimant Lawyers(s): Manoj Bhartiya
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Karimu F. Hill-Harvey, Elizabeth A. Townes, Natalie Paskiewicz
Hearing Site: Tampa, FL
| | $0 |
| 20-00994 | 01/31/2024 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Amy Goldstein Sessa, Jonathan Sessa, Jordana Sessa
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Bernard Lieberman, John Berton, Lorrie E Whitfield
Hearing Site: New York, NY
| | $100,000 |
| 22-00801 | 01/30/2024 | Claimant(s): Annella Dixon
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Tracy L. Allen, Gary P. Price, F. Bradford Johnson
Hearing Site: Indianapolis, IN
| | $0 |
| 22-02918 | 01/29/2024 | Claimant(s): Carlos Tobon
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $4,000 |
| 23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Farid Farhoumand
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 21-01271 | 01/26/2024 | Claimant(s): Katharine Constable
Claimant Lawyers(s): Andrew D. O'Toole
Respondent(s): Frank Epinger, J.P. Morgan Securities, Jacqueline Rahn, Jonathan Galan, Trevor Rahn
Respondent Lawyers(s): David Harrison, Dexter B. Johnson, Eugene L. Small, Michael M. Wilson
Arbitrator(s): Diane Ciccone, Steven R. Rolnick, David Adams Reif
Hearing Site: Hartford, CT
| | Expungement |
| 22-01915 | 01/26/2024 | Claimant(s): Paul De Villeneuve
Claimant Lawyers(s): Paul Y. De Villeneuve
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Marjorie Levine, Hammed Adeniyi, Jonathan Blank
Hearing Site: New York, NY
| | $440 |
