| 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 |
| 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
| | |
| 21-00702 | 11/03/2021 | Claimant(s): Anibal Drelichman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oppenheimer & Co.., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Nicola Anne Murphy
Arbitrator(s): Michael James Malone
Hearing Site: Washington, DC
| | |
| 20-02834 | 04/26/2021 | Claimant(s): William Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle B. Osting
Arbitrator(s): Michael James Malone
Hearing Site: Washington, DC
| | |
| 17-01012 | 05/06/2019 | Claimant(s): Peter Butler
Claimant Lawyers(s): Wm. Joseph Baker
Respondent(s): Craig Wiggins, Victoria Ellinger
Respondent Lawyers(s): Sean Needham
Arbitrator(s): Earl Williams, Michael James Malone, Michael J Borden
Hearing Site: Cleveland, OH
| | |
| 18-03012 | 04/23/2019 | Claimant(s): Martin Schroeder
Claimant Lawyers(s): Martin Lee Schroeder
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Jeffry M. Bauer, Anthony J. Bove, Michael James Malone
Hearing Site: Detroit, MI
| | |
| 16-03676 | 10/13/2017 | Claimant(s): James White
Claimant Lawyers(s): Daniel W. Rucker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Tracy L. Allen, Jack L. Somers, Michael James Malone
Hearing Site: Detroit, MI
| | |
| 17-00905 | 09/26/2017 | Claimant(s): John Serwatka
Claimant Lawyers(s): John A. Serwatka
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Michael James Malone
Hearing Site: Cleveland, OH
| | $368 |
| 16-02219 | 04/19/2017 | Claimant(s): Troy Johnson
Claimant Lawyers(s): Troy William Johnson
Respondent(s): Kathie Foreman, Samuel Foreman
Respondent Lawyers(s): Kathie Lee Foreman, Samuel Herbert Foreman
Arbitrator(s): Michael James Malone
Hearing Site: Detroit, MI
| | Expungement |
| 13-03760 | 07/07/2015 | Claimant(s): Larry Baber
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Anthony Manaia, Edward Hindman, Robert Copus, Intervest International Corporation, Intervest International Equities Corp.
Respondent Lawyers(s): David M. Saperstein, Mark L. Kowalsky
Arbitrator(s): Robert J. Scafuri, Mark Wietchy, Michael James Malone
Hearing Site: Detroit, MI
| | $40,000 |
