| 24-00002 | 11/04/2024 | Claimant(s): Jose Sala-Colon, Melanie Rossello-Wirshing, Jose M. Sala Colon Retirement Plan, Jose Sala-Colon and Melanie Rosello
Claimant Lawyers(s): Francisco A. Feliu
Respondent(s): Arkadios Capital, Pariter Securities
Respondent Lawyers(s): Roberto C. Quinones-Rivera, Ubaldo M. Fernandez Barrera
Arbitrator(s): Victor Calderon, Sergio A. Dominguez, Wanda L Esteras
Hearing Site: San Juan, PR
|  | $0 |
| 23-00431 | 11/04/2024 | Claimant(s): Douglas Collins, Marie Collins
Claimant Lawyers(s): Noam Greenspan
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Daniel R. Korb Jr.
Arbitrator(s): Anna M. Fanelli, Edward Carrasco, Kevin Kanesaka
Hearing Site: New York, NY
| | $0 |
| 23-03644 | 10/31/2024 | Claimant(s): April Schuster, Jennifer Smykowski, Marina Heine, Michael Hall, Patricia Labrosciano, Peter Smykowski, Roy Heine, Robert E. Prost & Rita R. Prost Trust
Claimant Lawyers(s): Adam J. Gana, Jonathan Kurta
Respondent(s): Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Alden Sharp Adkins, John William Kenesey, Lisa M. Lilly
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 23-03601 | 10/31/2024 | Claimant(s): Richard Treat
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
| | $0 |
| 24-01314 | 10/30/2024 | Claimant(s): David Maddox
Claimant Lawyers(s): David Maddox
Respondent(s): Wefunder Portal LLC
Respondent Lawyers(s): Christopher Vail
Arbitrator(s): Michael Kelley
Hearing Site: Albuquerque, NM
| | $0 |
| 24-00502 | 10/30/2024 | Claimant(s): Martin Shank, Susan Shank
Claimant Lawyers(s): Martin H. Shank
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin S. Blume
Arbitrator(s): Peter Shapiro
Hearing Site: Boca Raton, FL
| | $0 |
| 24-01178 | 10/30/2024 | Claimant(s): Mark Mann
Claimant Lawyers(s): Mark A. Mann
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Louis Charles Schmitt
Hearing Site: Cleveland, OH
| | $0 |
| 24-00449 | 10/28/2024 | Claimant(s): Anthony Vitale
Claimant Lawyers(s): Anthony Vitale
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Alan D. Romero
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $270 |
| 23-02786 | 10/28/2024 | Claimant(s): Linda Fontanes
Claimant Lawyers(s): Kerry Lawson Pedigo
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Joseph C. Roberts, Peter H. Daly, James John Jurinski
Hearing Site: Boise, ID
| | $0 |
| 23-00591 | 10/28/2024 | Claimant(s): Jerome Huddleston, Jerome Huddleston IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Thomas James Hirsch, Shaquana Ellison
Hearing Site: Atlanta, GA
| | Expungement |
