| 21-03098 | 04/29/2022 | Claimant(s): Mau Cong
Claimant Lawyers(s): Mau Cong
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
|  | $0 |
| 21-02935 | 04/28/2022 | Claimant(s): Louis George Sampanis Retirement Trust
Claimant Lawyers(s): Louis G. Sampanis
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | $163 |
| 19-03326 | 04/28/2022 | Claimant(s): Amy Chan, Hing Chan
Claimant Lawyers(s): Paul Radvany
Respondent(s): Johnny Guan
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Ted M. Rosen, Peter A. Goldman, Bernard Lieberman
Hearing Site: New York, NY
| | $97,187 |
| 19-02034 | 04/26/2022 | Claimant(s): Michael Arnheiter
Claimant Lawyers(s): Thomas N O'Connor
Respondent(s): Kenneth Kitchin, NYLife Securities LLC, New York Life Insurance Company, New York Life Insurance and Annuity Corp
Respondent Lawyers(s): Ralph T. Lepore, III
Arbitrator(s): Robert J. Ambrogi, Sharon L. Monroe, Joseph Edward Riley
Hearing Site: Boston, MA
| | Expungement |
| 20-02532 | 04/22/2022 | Claimant(s): Jonathan Reich
Claimant Lawyers(s): Jonathan Reich
Respondent(s): Robinhood Financial, Robinhood Securities
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | Dismissed by Rule 12212 |
| 20-03345 | 04/22/2022 | Claimant(s): Beate Regenauer
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Terrance J. Nolan, Frank Joseph Clemens, Stephen T Schreiber
Hearing Site: New York, NY
| | Expungement |
| 20-03324 | 04/22/2022 | Claimant(s): Ardine Jones, Buddy Jones, Ledger Fisse, Ron Carlos, Sharon Fisse
Claimant Lawyers(s): Ardine Jones, Benjamin Edwards, Buddy Jones, Ledger J. Fisse
Respondent(s): Gilberto Briseno
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Mark C Watler, Richard William Cryar, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
| | Expungement |
| 20-04027 | 04/22/2022 | Claimant(s): Albert Epstein IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Julie K. Chapin, Laura A. Kaster, Melantha K Paige
Hearing Site: Philadelphia, PA
| | Expungement |
| 19-03605 | 04/21/2022 | Claimant(s): Joseph Cardenas, Machelle Cardenas, Yuma Cardiology Associates
Claimant Lawyers(s): Bradd L Milove
Respondent(s): Ryan Barradas, Kestra Investment Services, M Holdings Securities., WealthPoint, Barradas Family Trust, Kestra Advisory Services, Kestra Financial.
Respondent Lawyers(s): Edwin A. Barkel, Nancy L. Hendrickson
Arbitrator(s): Howard R. Gaines, Maureen Beyers, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $0 |
| 18-04310 | 04/21/2022 | Claimant(s): Judith Cambron
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Christopher Hibbard, Raymond, James & Associates., Patrick Strehl
Respondent Lawyers(s): Christopher Lee Hibbard, Peter S. Fruin
Arbitrator(s): John R. Michael, Linda W. Hester, Robert David Epstein
Hearing Site: Louisville, KY
| | Expungement |
