| 12-02766 | 02/17/2015 | Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
|  | $666,618 |
| 12-03343 | 10/14/2014 | Claimant(s): Bijan Dokhanian, Michael Sadeghan, Shahdokht Dokhanian, Sean and David Sadgan, S&B Dokhanian Family Trust U/T/A 10/3/05
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Ascendant Asset Advisors., Interactive Brokers LLC
Respondent Lawyers(s): Burton Mark Senkfor, Robert W. Topp
Arbitrator(s): Arthur F. Brueggeman, Robert B. Hansohn, John Marius Baker
Hearing Site: Los Angeles, CA
| | $800,000 |
| 12-00268 | 06/06/2014 | Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
| | $100,000 |
| 12-00540 | 04/17/2014 | Claimant(s): Alma Kern, James Kern, John Kern, James & John Foundation, Kern Family LLC
Claimant Lawyers(s): John A. Bender
Respondent(s): Phillip Frink, Richard Finger, Interactive Brokers LLC
Respondent Lawyers(s): Ralph H. Palumbo, Richard A. Finger, Robert W. Topp
Arbitrator(s): Joseph C. Roberts, T. Dennis George, John P. Payseno
Hearing Site: Seattle, WA
| | $3,048,200 |
| 12-02626 | 07/24/2013 | Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
| | $56,625 |
| 12-04337 | 07/10/2013 | Claimant(s): Susan Ritter
Claimant Lawyers(s): Susan Ritter
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | $300 |
| 11-04125 | 11/20/2012 | Claimant(s): Matt Correia, Dapelo & Correia Capital Investors
Claimant Lawyers(s): Matt Correia
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Alan Stamm, Theodore G. Bradpiece, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
