| 23-01066 | 09/01/2023 | Claimant(s): Vande Vrede Family Trust
Claimant Lawyers(s): Kenneth Vande Vrede
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Michael I. White
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Richmond, VA
|  | $300 |
| 22-00307 | 08/31/2023 | Claimant(s): Roxanne Gottlieb
Claimant Lawyers(s): Anthony F. Fata
Respondent(s): Matrix Capital Advisors
Respondent Lawyers(s): John M. O'Bryan
Arbitrator(s): Thomas Michael Genovese, Dianne Marie Onichimowski, Richard Michael Stanton
Hearing Site: Chicago, IL
| | $0 |
| 22-02680 | 08/31/2023 | Claimant(s): Gunnar Zipp
Claimant Lawyers(s): Gunnar P. Zipp
Respondent(s): Acorns Securities
Respondent Lawyers(s): Ian P. Weschler
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
| | $0 |
| 21-02535 | 08/30/2023 | Claimant(s): A. Link Partners.
Claimant Lawyers(s): Bruce D. Johnson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Libowsky
Arbitrator(s): Howard L. Sobel, Norman Feit, Mitchell H Rubinstein
Hearing Site: New York, NY
| | Expungement |
| 22-01195 | 08/30/2023 | Claimant(s): James Fayssoux, Sr.
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): SW Financial
Respondent Lawyers(s): Axos Clearing
Arbitrator(s): Roger C. Benson, Bernadette F. Rasmussen, William Finley Hamel
Hearing Site: Columbia, SC
| | $3,193,550 |
| 22-00853 | 08/29/2023 | Claimant(s): Irum Abbasi
Claimant Lawyers(s): Irum Abbasi
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Joseph Neal Richardson, Eric Ross Cromartie, Robert Barton McLeroy
Hearing Site: Dallas, TX
| | $0 |
| 22-02406 | 08/29/2023 | Claimant(s): Michael Madison
Claimant Lawyers(s): Michael Rashad Madison
Respondent(s): Cash App Investing LLC
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Patrick R. Sughroue, Michael J. Meeusen, Timothy Guerriero
Hearing Site: Detroit, MI
| | Dismissed by Rule 12504 |
| 19-03510 | 08/28/2023 | Claimant(s): Thatcher J. Fields Gift Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Louis H Miron, Julius Z. Frager, Bruce Arthur Blessington
Hearing Site: Montpelier, VT
| | Expungement |
| 20-03589 | 08/25/2023 | Claimant(s): Anita Glick, Gary Glick
Claimant Lawyers(s): Anita Glick, Gary Glick
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Anna K. Stark
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02447 | 08/25/2023 | Claimant(s): Estate of Richard O. Bertschinger
Claimant Lawyers(s): Bryan J. Nowlin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Karen Roberts Washington, Diane Shafer Goldschmidt, Brian James Tagtmeier
Hearing Site: Oklahoma City, OK
| | $0 |
