| 23-00768 | 12/08/2023 | Claimant(s): Michael Moses
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Edward Jones
Respondent Lawyers(s): Joe N. Nguyen
Arbitrator(s): Carol H. Gold, Colin Bell, Stacey Frenche
Hearing Site: Philadelphia, PA
|  | Expungement |
| 23-02112 | 12/08/2023 | Claimant(s): Tonya Simmons
Claimant Lawyers(s): Tonya A. Simmons
Respondent(s): AET Investment Services
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Michael S. Jordan
Hearing Site: Chicago, IL
| | $0 |
| 22-00976 | 12/08/2023 | Claimant(s): Harriet Isecke, William Isecke, Harriet Isecke IRA, William Isecke IRA
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): John A. Scudiero, Edith M. Novack, Emily Diamond
Hearing Site: Jersey City, NJ
| | Expungement |
| 23-00047 | 12/06/2023 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Mehran Khavarian
Respondent Lawyers(s): Mehran Khavarian
Arbitrator(s): Richard W. Dissen
Hearing Site: Montpelier, VT
| | $0 |
| 23-00833 | 12/06/2023 | Claimant(s): Apex Clearing Corporation
Claimant Lawyers(s): Jonathan D. Neerman
Respondent(s): Hui Zou
Respondent Lawyers(s): Hui Zou
Arbitrator(s): Keely D. Parr, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 22-00423 | 12/05/2023 | Claimant(s): Ramona Mebane
Claimant Lawyers(s): Bradford M Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
| | Expungement |
| 23-00312 | 12/04/2023 | Claimant(s): Andrea Freedlund
Claimant Lawyers(s): Andrea J. Freedlund
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Jack R. Goetz, Steven H. Gentry, Gecole L. Harley
Hearing Site: Los Angeles, CA
| | $175 |
| 20-04080 | 12/04/2023 | Claimant(s): Alexander Kuznetsov
Claimant Lawyers(s): Alexander Kuznetsov
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Shelley Teitelbaum, Donald N. Cohen, Eugene G. P. Byrne
Hearing Site: New York, NY
| | Dismissed by Rule 12212 and 12511 |
| 23-00052 | 12/04/2023 | Claimant(s): Wallace Suku
Claimant Lawyers(s): Wallace W. Suku
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard E. Lauziere, Peter H. Goldberg, Ronald Kalungi
Hearing Site: Washington, DC
| | $0 |
| 19-02039 | 12/04/2023 | Claimant(s): Gables Capital Management.
Claimant Lawyers(s): Jeffrey T. Foreman
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, INTL FCStone Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barth Satuloff, Paul B. Glantz, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Expungement |
