| 21-02289 | 01/02/2024 | Claimant(s): Justin Naughton
Claimant Lawyers(s): Dennis E. Boyle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Joseph J. Dougherty, Overman Randolph Rollins, Elizabeth Flannagan Edwards
Hearing Site: Richmond, VA
|  | $75,603 |
| 22-02525 | 12/29/2023 | Claimant(s): Dale Deutsch, Lou Deutsch, Dale G. Deutsch Revocable Living Trust, Lou C. Deutsch Revocable Living Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Arthur Neil Tolciss, Barry Steven Port, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 23-02276 | 12/29/2023 | Claimant(s): Junya Zhang
Claimant Lawyers(s): Junya Zhang
Respondent(s): Moomoo Financial Inc.
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
| | $54 |
| 22-01420 | 12/28/2023 | Claimant(s): Brian Wells
Claimant Lawyers(s): Brian Wells
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing Corp, BOFA Securities.
Respondent Lawyers(s): Ronald Smith
Arbitrator(s): William A. Barrett, Linda J. Baer, Gregory Hunter Mathews
Hearing Site: Manchester, NH
| | $0 |
| 23-02272 | 12/22/2023 | Claimant(s): Yan Liu
Claimant Lawyers(s): Yan Liu
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | $0 |
| 20-04184 | 12/21/2023 | Claimant(s): Michael Codispoti
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Robert David Epstein, Mark A. Sipper, John William Diether
Hearing Site: Cincinnati, OH
| | Expungement |
| 21-02199 | 12/19/2023 | Claimant(s): John Russo, Maureen Russo, John Russo IRA, Maureen Russo IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Euguene L. Small
Arbitrator(s): Sandra Holtzman, Thomas M. Madden, Carla Brydson
Hearing Site: New York, NY
| | Expungement |
| 23-00816 | 12/19/2023 | Claimant(s): Elaine St. George
Claimant Lawyers(s): Elaine Nancy St. George
Respondent(s): J.P. Morgan Securities, Michael Baumhor
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Steven Gerard Goerke, Alan B. Goldstein, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-02088 | 12/19/2023 | Claimant(s): Eric Wilkison
Claimant Lawyers(s): Eric S Wilkison
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): James A. McIntosh
Hearing Site: Nashville, TN
| | $0 |
| 22-02485 | 12/19/2023 | Claimant(s): William Repicci, The William J. Repicci IRA, The William J. Repicci Roth IRA
Claimant Lawyers(s): Dietrich Peter Epperson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
