| 23-00701 | 11/20/2023 | Claimant(s): Marc Basist
Claimant Lawyers(s): Adam Gana
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206(b) |
| 22-01838 | 11/20/2023 | Claimant(s): Harvey Silver, The Estate of Gladys Silver
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC, TD Ameritrade.
Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren
Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi
Hearing Site: New York, NY
| | $440 |
| 23-00234 | 11/17/2023 | Claimant(s): Jeanne Mount
Claimant Lawyers(s): Jeanne Mount
Respondent(s): Brooke Spicer, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mary M. O'Neil, Kendall C. Reed, Maxx O Brawer
Hearing Site: Los Angeles, CA
| | $0 |
| 23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Emily M. Knight
Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206(b) |
| 22-01778 | 11/17/2023 | Claimant(s): Virginia Gatlin, V. Gatlin, Ind. Exec. Glen Gatlin Estate
Claimant Lawyers(s): William L. Kirkman
Respondent(s): Glen Gatlin, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David M. Pyke, Ellen Sessions
Arbitrator(s): Dineo Coleman Gary, Michael Wayne Johnston, Juanita Harris
Hearing Site: Dallas, TX
| | $0 |
| 22-01845 | 11/16/2023 | Claimant(s): Xudong Cheng
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Hannah B. Shanks-Parkin
Arbitrator(s): Kenneth E. Owen, Mark Alan Sevigny, Caryl Elyse Winter
Hearing Site: Los Angeles, CA
| | $0 |
| 23-01040 | 11/16/2023 | Claimant(s): Ann Connelly
Claimant Lawyers(s): Ann M. Connelly
Respondent(s): Ronald Bernheim
Respondent Lawyers(s): Ronald Jack Bernheim
Arbitrator(s): Robert J. Scafuri
Hearing Site: Syracuse, NY
| | $425 |
| 22-00120 | 11/16/2023 | Claimant(s): Shirley Karcher, The Amended and Restated Trust Agreement, The Edbert A. Karcher Irrevocable Mari
Claimant Lawyers(s): Ashlie Case Sletvold
Respondent(s): J.W. Cole Financial.
Respondent Lawyers(s): Brian P. Nally
Arbitrator(s): Gary B. Deutsch, David Minc, David N Brown
Hearing Site: Cleveland, OH
| | $135,000 |
| 22-02085 | 11/15/2023 | Claimant(s): Martin Lorenzen
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): David Morris
Respondent Lawyers(s): David Jeffrey Morris
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $100,000 |
| 23-01826 | 11/15/2023 | Claimant(s): Michael West
Claimant Lawyers(s): Michael West
Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $300 |
