| 24-00692 | 11/27/2024 | Claimant(s): Marie Mangin
Claimant Lawyers(s): John Mangin
Respondent(s): OneAmerica Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Joyce A. Mitchell, Nalini Iyer, Joel Miller
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 24-00444 | 11/26/2024 | Claimant(s): Subhojit Bose
Claimant Lawyers(s): Marc D. Schifanelli
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Luca Provenzano
Arbitrator(s):
Hearing Site: Washington, DC
| | |
| 23-01975 | 10/01/2024 | Claimant(s): Gregory Buckis
Claimant Lawyers(s): Brandon Dei
Respondent(s): Francis Carson, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Christopher M. McMurray, Randy Jeff Branitsky, Kiran Nasir Gore
Hearing Site: Washington, DC
| | $0 |
| 23-00587 | 09/13/2024 | Claimant(s): Carol Parks
Claimant Lawyers(s): Jason Doss
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon M. Wase, Armand Philip Lione, Julius P. Terrell
Hearing Site: Washington, DC
| | Expungement |
| 23-03290 | 08/28/2024 | Claimant(s): Eleanor Maguire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mclaughlin Ryder Investments.
Respondent Lawyers(s): Janet DeCosta
Arbitrator(s): Tina E. Patterson
Hearing Site: Washington, DC
| | |
| 23-01298 | 07/11/2024 | Claimant(s): Paul Gerlach
Claimant Lawyers(s): Shawn P. George
Respondent(s): Charles Knott, Cort Meinelschmidt, Capital Investment Group., Sentinel Capital Solutions Inc
Respondent Lawyers(s): Jonathan A. Barnes, Victor E. Cretella III
Arbitrator(s): Geoffrey A. Drucker, James Pauli, Allan David Poteshman
Hearing Site: Washington, DC
| | $996,072 |
| 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 |
| 23-02813 | 06/07/2024 | Claimant(s): Brian Arezzo
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | |
| 23-00074 | 05/24/2024 | Claimant(s): Germaine Broussard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Washington, DC
| | |
| 23-01397 | 05/16/2024 | Claimant(s): Liliana Molina
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Spire Securities
Respondent Lawyers(s): Feisal A. Malik
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
