| 23-01909 | 06/27/2024 | Claimant(s): Janice Schiff, The Estate of Raymond Schiff
Claimant Lawyers(s): Dennis E. Boyle
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
|  | $47,000 |
| 23-00823 | 06/26/2024 | Claimant(s): Stephen Groth
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Susan H. Schleisner, Kevin J. Demet, Nathaniel Cade
Hearing Site: Milwaukee, WI
| | $200,000 |
| 23-00448 | 06/26/2024 | Claimant(s): Jennifer Gold
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Alex Chivarsky, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman, Omar Perez
Arbitrator(s): Robert B. Hansohn, Brent J. Rosenbaum, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Expungement |
| 23-01317 | 06/25/2024 | Claimant(s): Estate of Lynn A. Ryan
Claimant Lawyers(s): Mildred C. Ryan
Respondent(s): Derek Visslailli, TD Ameritrade.
Respondent Lawyers(s): Derek Visslailli, Frank J. Cuccio
Arbitrator(s): Robert Elliot Harrison, Roy Lukins Rowsell, John Michael Bergin
Hearing Site: New York, NY
| | $0 |
| 23-00050 | 06/24/2024 | Claimant(s): Daniel Prielipp, Eddie Yaklin, Miguel Tavarez, Robert McCall
Claimant Lawyers(s): Brandon Dei
Respondent(s): Bernard Jasmin, Daniel Otoya, Hakim Donadelle, Kevin Chen, Serge Parakhnevich, Steros Christoforou, Vladimiro Panichi, PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Christian A. Bourgeacq, Daniel D. Hill, Michael Louis Goldstone
Hearing Site: Houston, TX
| | $0 |
| 23-00539 | 06/21/2024 | Claimant(s): Heather Silvestro, Kyle Silvestro
Claimant Lawyers(s): Adolfo J. Anzola
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Ian S. Greig, Jacquelyn M. Shannon, Eric Greenstein
Hearing Site: Tampa, FL
| | Expungement |
| 23-00256 | 06/21/2024 | Claimant(s): Maria Cristina Donnelly
Claimant Lawyers(s): David Cook
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin Opitz
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 23-02177 | 06/20/2024 | Claimant(s): Zhanling Liu
Claimant Lawyers(s): W Scott Greco
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | $65,322 |
| 23-00294 | 06/17/2024 | Claimant(s): Lisa McAllister
Claimant Lawyers(s): Elisabeth S. Gray
Respondent(s): Jay Lanstein, Robert Gleason, Cantella & Co..
Respondent Lawyers(s): James P. Catalano, Jonathan W. Lanstein
Arbitrator(s): Barbara Black, Robert William Copeland, Dustin Faeder
Hearing Site: Nashville, TN
| | $0 |
| 23-01752 | 06/14/2024 | Claimant(s): Steven Smith
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Joyce L. Hurley, Dana L. Bigman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
