| 20-03957 | 02/02/2023 | Claimant(s): James Garrity
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Scott J. Splittgerber
Arbitrator(s): Martin V. Franks, Marni E. Byrum, Julius P. Terrell
Hearing Site: Washington, DC
| | |
| 22-00266 | 12/23/2022 | Claimant(s): Tayvon Jackson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
| | |
| 22-00299 | 11/30/2022 | Claimant(s): Tyrone Chaplin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
| | |
| 20-01614 | 11/29/2022 | Claimant(s): Joan Washington
Claimant Lawyers(s): Joan B. Washington
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Douglas Earl McLaren, Elizabeth Louise Carswell, Jacqueline A Tran
Hearing Site: Washington, DC
|  | Expungement |
| 22-00240 | 11/16/2022 | Claimant(s): Geoffrey Githaiga
Claimant Lawyers(s): Geoffrey Githaiga
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
| 21-00194 | 08/25/2022 | Claimant(s): Brigitte Sodhi, Sukhinder Sodhi
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Douglas Earl McLaren, Richard H. Porter, Edward Paul Gibson
Hearing Site: Washington, DC
| | Expungement |
| 20-03257 | 07/27/2022 | Claimant(s): Ashok Aiyappa, Varalakshmi Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Mary E. Woytek, Karen L. Crump-Wilson, Jeffrey Axelrad
Hearing Site: Washington, DC
| | $0 |
| 22-00534 | 07/14/2022 | Claimant(s): Beatriz Luna Vida
Claimant Lawyers(s): David I. Hantman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Jorge I. Peirats
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 21-02979 | 05/18/2022 | Claimant(s): Shawn Swanson
Claimant Lawyers(s): Shawn Swanson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | $0 |
| 22-00359 | 05/13/2022 | Claimant(s): Roderick Von Lipsey
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
