| 21-00320 | 05/05/2023 | Claimant(s): Fred Shahan, Wendy Cordell, on behalf of his IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Darol Paulsen, John Nguyen, Jonathan French, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Barbara M. Zak, Herbert Liberman, Deanna J. Johnson
Hearing Site: San Diego, CA
|  | $780,220 |
| 21-03054 | 05/04/2023 | Claimant(s): Byron Costa, Darrell Costa
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): David Maurer, Kendall C. Reed, Claudia Mai Morehead
Hearing Site: Los Angeles, CA
| | $0 |
| 21-02116 | 05/03/2023 | Claimant(s): Matthew W. Nickerson, on behalf of IRA
Claimant Lawyers(s): Kirk G Smith
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
| | Expungement |
| 21-02621 | 05/03/2023 | Claimant(s): Richard Westfall
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
| | Expungement |
| 22-00487 | 05/02/2023 | Claimant(s): Napoleon Bonds
Claimant Lawyers(s): Napoleon James Bonds
Respondent(s): TradeStation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Laura A. Kaster, Bruce Ernest Hunter, Brian James Crepeau
Hearing Site: Baltimore, MD
| | $0 |
| 21-02041 | 05/02/2023 | Claimant(s): Eda Lee Haas, Julia Berg, Phillip Haas, Sandra Gollofon, Susan Meyers
Claimant Lawyers(s): Duncan E Manville
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Elwood C. Avery, Cheung David Chhieng, Katherine L Sidener
Hearing Site: Seattle, WA
| | $0 |
| 22-01565 | 05/01/2023 | Claimant(s): Elsayed Elnenaey
Claimant Lawyers(s): Ahmed Elnenaey
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Keely D. Parr, Jeanne M. Keefe, Eric Howard
Hearing Site: New York, NY
| | Dismissed with Rule 12206 |
| 22-02883 | 05/01/2023 | Claimant(s): Tongzhou Luo
Claimant Lawyers(s): Tongzhou Luo
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Isidoro Berkman
Hearing Site: Seattle, WA
| | $175 |
| 19-01127 | 04/28/2023 | Claimant(s): Trent L. Rosenthal Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Francis Joseph Bourgeois, Julie Marie Miller, Edwin Kisiel
Hearing Site: Houston, TX
| | Expungement |
| 22-00245 | 04/27/2023 | Claimant(s): Amy Reuben, Elizabeth Zimmer
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Joseph Desapio
Respondent Lawyers(s): Joseph C. Desapio
Arbitrator(s): John Caracciolo
Hearing Site: New York, NY
| | $0 |
