| 19-01545 | 06/30/2021 | Claimant(s): Eleven Stones, L.P.
Claimant Lawyers(s): W. Barry Blum
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Herbert N. Ladenheim, Kevin A. Llinas, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
|  | $0 |
| 18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
| | Settlement |
| 19-01497 | 11/11/2019 | Claimant(s): Edward Engbarth
Claimant Lawyers(s): Edward Engbarth
Respondent(s): Joseph Amato, Alexander Capital, L.P.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $10,141 |
| 18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $160,097 |
| 19-00812 | 11/01/2019 | Claimant(s): Joseph Nunn
Claimant Lawyers(s): Joseph C. Nunn
Respondent(s): The Williams Capital Group, L.P.
Respondent Lawyers(s): Marc L. Silverman
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 19-00164 | 09/10/2019 | Claimant(s): Timothy Werdel
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Cuso Financial Services, L.P.
Respondent Lawyers(s): Maria J. Seedner
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
| | |
| 18-04433 | 09/03/2019 | Claimant(s): Richard Hall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CUSO Financial Services, L.P.
Respondent Lawyers(s): Maria J. Seedner
Arbitrator(s): William W. Haskell
Hearing Site: Portland, OR
| | |
| 15-03200 | 04/16/2019 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Katherine L. Schuerman
Respondent(s): Brar Familiy Partnership, L.P.
Respondent Lawyers(s): Arthur Schwartzstein
Arbitrator(s):
Hearing Site: Norfolk, VA
| | $2,529,060 |
| 15-03199 | 04/11/2019 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Dr. Parbhur and Charanjit Singh, Brar Family Partnership, L.P.
Respondent Lawyers(s): Arthur M. Schwartzstein
Arbitrator(s): Neil T. Treger, Brock B. Gordon, Harold Craig Cohen
Hearing Site: Norfolk, VA
| | $0 |
| 17-02994 | 12/13/2018 | Claimant(s): Great Vision USD Fund I, L.P.
Claimant Lawyers(s): Leon Baer Borstein
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason Billy
Arbitrator(s): Michael H. DuBoff, John Michael Richardson, Andrew Evan Gelfand
Hearing Site: New York, NY
| | $345,800 |
