| 23-03079 | 08/12/2024 | Claimant(s): Patricia Earl, Robert Earl, OCS OLI
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Brian Batson, Cary Corwin, Lion Street Financial
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Lewis Gordon Brewer, Tiffany Wax, Catherine Harper
Hearing Site: Orlando, FL
|  | Dismissed by Rule 12504(a)(6)(B) |
| 23-01075 | 08/12/2024 | Claimant(s): Sally Gaddie
Claimant Lawyers(s): Jared A. Rose
Respondent(s): Christina Silvius, Juliann Smith, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Karen Roberts Washington, Del Wright, John Edward Jackson
Hearing Site: Kansas City, MO
| | Expungement |
| 22-02810 | 08/07/2024 | Claimant(s): Sandra Stahlke, William Stahlke
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Michael J. Quarequio, Joseph Benalt, Stephenie Dorris
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-02503 | 08/07/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Ray Mahdavi
Respondent(s): Daniel Duong
Respondent Lawyers(s): Daniel Duong
Arbitrator(s): Kenneth E. Owen, June McLaughlin, Jeffrey Dwayne Robertson
Hearing Site: Los Angeles, CA
| | $466,689 |
| 23-01591 | 08/07/2024 | Claimant(s): Cobra Trading.
Claimant Lawyers(s): Craig M. Warner
Respondent(s): Judy Reynolds
Respondent Lawyers(s): Stanley Q. Casey
Arbitrator(s): David Minc
Hearing Site: Cleveland, OH
| | $67,500 |
| 22-02620 | 08/06/2024 | Claimant(s): Patrick Roth
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jay Alan Kranis, Regina Waynes Joseph, Bertha Maria Rodriguez
Hearing Site: Jersey City, NJ
| | Expungement |
| 23-01860 | 08/01/2024 | Claimant(s): Gail Jabes, Joseph Jabes
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lee Milich, Mark J. McCarthy, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-03521 | 07/31/2024 | Claimant(s): Venkatesh Kaliappan
Claimant Lawyers(s): Venkatesh Kaliappan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 22-01842 | 07/30/2024 | Claimant(s): Randy Dean
Claimant Lawyers(s): Randy K. Dean
Respondent(s): Kelly Gillikin
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Tracy L. Allen, Scott C. Matasar, Tim Warner
Hearing Site: Cleveland, OH
| | Expungement |
| 24-00092 | 07/29/2024 | Claimant(s): Amra Uzair, Mirza Beg
Claimant Lawyers(s): Joshua Kons
Respondent(s): CrowdStreet., Crowdstreet Capital LLC
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Lynne M. Gomez, Montie G. Grimes, David Aaron DeSoto
Hearing Site: Houston, TX
| | Dismissed by Rule 12200 |
