| 20-03832 | 03/08/2021 | Claimant(s): Jeffrey Sadur
Claimant Lawyers(s): Jeffrey R. Sadur
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
|  | $0 |
| 19-02564 | 02/04/2021 | Claimant(s): Shaheen Aulakh
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | $0 |
| 19-02998 | 10/14/2020 | Claimant(s): Teresa Valdez, Teresa Valdez IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Alan Stamm, Susan B. Gans-Smith, Daniel A. Seiver
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 19-01551 | 09/15/2020 | Claimant(s): Hilary L. Shane Revocable Trust
Claimant Lawyers(s): Jo Ann Palchak
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Seth L. Finkel, Renaldy Jose Gutierrez, John B. Sochacki
Hearing Site: Boca Raton, FL
| | Settlement |
| 20-01224 | 09/11/2020 | Claimant(s): Chester Kuong
Claimant Lawyers(s): Chester Kuong
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | $125 |
| 18-03464 | 09/01/2020 | Claimant(s): Paul Valencia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jennifer W. Persico
Arbitrator(s): Lita S Menkin, Mollie Wagner Neal, Bryan Myerson Ward
Hearing Site: Atlanta, GA
| | |
| 19-01505 | 08/17/2020 | Claimant(s): Joshua Travis Anue Trust, Tenaya Laurel Anue Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Robert James Wilkie
Hearing Site: San Francisco, CA
| | $189,009 |
| 19-03840 | 07/21/2020 | Claimant(s): Lam Thai
Claimant Lawyers(s): Lam Thai
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | $0 |
| 20-00750 | 07/20/2020 | Claimant(s): Derek Tumulak
Claimant Lawyers(s): Derek Tumulak
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 19-01927 | 05/27/2020 | Claimant(s): David Moore, David L. Moore IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Joyce L. Hurley, Alan M. Rosen, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
