| 22-02159 | 10/20/2023 | Claimant(s): Hyder Cheema
Claimant Lawyers(s): Hyder Cheema
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
|  | Dismissed by Rule 12212© |
| 23-00663 | 10/17/2023 | Claimant(s): Latrice Osamor
Claimant Lawyers(s): Latrice A. Osamor
Respondent(s): First Command Brokerage Services.
Respondent Lawyers(s): Adam C. Pollet
Arbitrator(s): Douglas Earl McLaren, Julius P. Terrell, Alan Barry Cohen
Hearing Site: Washington, DC
| | $400 |
| 23-01323 | 10/11/2023 | Claimant(s): Anjali Aiyappa, Ashok Aiyappa, Kavitha Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Gregory Nerantzis, Merrill Lynch Pierce Fenner & Smith Inc., Peter Ambrose
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): David Paul Clark, Michael James Malone, Raymond Winston Suarez
Hearing Site: Washington, DC
| | Dismissed by Rule 12504 |
| 20-00554 | 09/28/2023 | Claimant(s): Brenda Blisk, Spire Investment Partners, Spire Securities, Spire Wealth Management
Claimant Lawyers(s): Matthew C. Plant
Respondent(s): Cecile Hult, Dianne Nolin, Eric Ashburn, Joseph Gallemore, Argent Bridge Advisors
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Patricia H. Latham, Jonathan Edward Levine, Jay N. Lazrus
Hearing Site: Washington, DC
| | |
| 22-02848 | 09/01/2023 | Claimant(s): William Young
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Grove Point Investments, United Brokerage Services
Respondent Lawyers(s): Matt Winterhalter, Michael Earl
Arbitrator(s): Kurt Matthew Schwartz, Michael James Malone, Clinton Barkdoll
Hearing Site: Washington, DC
| | |
| 22-00905 | 08/03/2023 | Claimant(s): Thomas Cleary
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Jane C. Carney, Kathy Davidson Ireland, David Ivan Brochstein
Hearing Site: Washington, DC
| | |
| 22-01549 | 04/07/2023 | Claimant(s): Kelly Campbell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi, Rochelle Mayfield
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 22-00634 | 03/30/2023 | Claimant(s): Flaubert Mbongo
Claimant Lawyers(s): Flaubert Mbongo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Richard P. Regan, Yvette C. Hatfield, Raymond Winston Suarez
Hearing Site: Washington, DC
| | $0 |
| 22-02345 | 02/28/2023 | Claimant(s): John and Christine Stewart
Claimant Lawyers(s): Christine Stewart
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Laura A. Kaster
Hearing Site: Washington, DC
| | $19 |
| 22-01708 | 02/15/2023 | Claimant(s): Kenneth Busey
Claimant Lawyers(s): Kenneth W. Busey
Respondent(s): Brex Treasury
Respondent Lawyers(s): Edrei G. Swanson
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $0 |
