| 21-03040 | 07/21/2023 | Claimant(s): Pope Trading LLC
Claimant Lawyers(s): David W. Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Paul J. Burkhart, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
|  | $0 |
| 20-01388 | 07/21/2023 | Claimant(s): Gennadii Bilitch
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Ted M. Rosen, John Caracciolo, Joan Patricia Beck-Wall
Hearing Site: New York, NY
| | $0 |
| 19-02012 | 07/18/2023 | Claimant(s): Mai Y. Hanlon Revocable Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): William A. Barrett, Michael P. Breton, Frank Sanclemente
Hearing Site: Boston, MA
| | $0 |
| 22-00145 | 07/18/2023 | Claimant(s): Charles Smith, Selrahc Ltd Partnership
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden, Richard Borgner
Respondent Lawyers(s): Charles M. O'Rourke, Jamie John Worden, Richard Reiss Borgner
Arbitrator(s): Mary Elizabeth Skelnik, Derry Olive Wilcox, Blake William Cole
Hearing Site: Birmingham, AL
| | $1,665,500 |
| 20-02909 | 07/17/2023 | Claimant(s): Leslie Nelson
Claimant Lawyers(s): Paul L. Vorndran
Respondent(s): Stifel, Nicolaus & Co.., Randall Minas
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Carla B. Minckley, Carol L. Roslund, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 22-02786 | 07/13/2023 | Claimant(s): Cyrus Sajna
Claimant Lawyers(s): Cyrus Sajna
Respondent(s): Tigress Financial Partners
Respondent Lawyers(s): Kris Taylor
Arbitrator(s): Daniel D. Hill, Nohayia Javed, Bernardo S. Garza
Hearing Site: Houston, TX
| | Dismissed by Rule 12504 |
| 23-00300 | 07/13/2023 | Claimant(s): James Ko
Claimant Lawyers(s): James Ko
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): John A. Scudiero, Yvonne F. Rocco, Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
| | Dismissed by Rule 12206 |
| 22-02735 | 07/13/2023 | Claimant(s): Ally Invest Securities LLC
Claimant Lawyers(s): Daniel S. Newman
Respondent(s): Tin Tran
Respondent Lawyers(s): Tin Trung Tran
Arbitrator(s): Andrea J. Goldman, Gene M. Bauer, Edward Wallack
Hearing Site: Boston, MA
| | $149,389 |
| 22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton
Claimant Lawyers(s): William B. Young
Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig Stein
Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 22-02977 | 07/11/2023 | Claimant(s): Linda O'Connor
Claimant Lawyers(s): Linda O'Connor
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Ronald Citron, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
| | Dismissed by Rule 12504 |
