| 11-01915 | 01/29/2014 | Claimant(s): An Yan
Claimant Lawyers(s): An Yan
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Frederick L. Lieberman
Arbitrator(s): Donald J. Zoeller
Hearing Site: New York, NY
| | |
| 12-02153 | 01/07/2014 | Claimant(s): Christine Frole
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): Dennis Zaplin, Chase Investment Services Corp., Gregg Kleinbaum, Jason Navolio, Joseph Mignano
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Laura H. Goldzung, Linda J. Baer, Scott Mooney
Hearing Site: Newark, NJ
| | |
| 13-01206 | 12/06/2013 | Claimant(s): Anastasio Suarez
Claimant Lawyers(s): Anastasio Suarez
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | |
| 13-00010 | 11/26/2013 | Claimant(s): Steven Brahy
Claimant Lawyers(s): Steven Brahy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Melvin S. Feldman, Michael M. Perrigue, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | |
| 13-00370 | 10/10/2013 | Claimant(s): Jean Bradshaw
Claimant Lawyers(s): Eric J. Grannis
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities
Respondent Lawyers(s): Matthew B. Corwin
Arbitrator(s): Lisa Catalano
Hearing Site: New York, NY
|  | $25,425 |
| 13-00127 | 09/26/2013 | Claimant(s): David Tansor
Claimant Lawyers(s): David A. Gehn
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Mitchell Lee Marinello
Hearing Site: Milwaukee, WI
| | |
| 12-04218 | 09/05/2013 | Claimant(s): Daniel Alfonso
Claimant Lawyers(s): Daniel Alfonso
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): George G. Kurschner
Hearing Site: Miami, FL
| | |
| 13-00409 | 08/14/2013 | Claimant(s): Sharaya Moore
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | $14,527 |
| 12-03144 | 08/13/2013 | Claimant(s): Zhi Poon
Claimant Lawyers(s): Zhi C. Poon
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Franklin P. Chapman, Robert B. Schmidt, Steven David Leader
Hearing Site: New York, NY
| | |
| 12-02944 | 07/31/2013 | Claimant(s): Mary Power
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
| | Expungement |
