| 23-01721 | 09/10/2024 | Claimant(s): William Collier
Claimant Lawyers(s): William O. Collier
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Joyce A. Mitchell, David Paul Clark, David Ivan Brochstein
Hearing Site: Richmond, VA
|  | $0 |
| 23-02250 | 02/12/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Todd Ratner
Respondent(s): Gerald Fils
Respondent Lawyers(s): Gerald Louis Fils
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 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 |
| 20-03652 | 11/09/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Gratitude Management LLC, The Builders Fund
Respondent Lawyers(s): John J. Siciliano
Arbitrator(s): David Paul Clark, Julie K. Chapin, Richard Pearce Moultrie
Hearing Site: Wilmington, DE
| | |
| 21-02253 | 03/04/2022 | Claimant(s): Almaz Tesfamariam
Claimant Lawyers(s): Almaz Tesfamariam
Respondent(s): John Lavalle, William Auriemma, Wells Fargo Clearing Services, Llc
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | $0 |
| 21-02488 | 03/02/2022 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Theodore R. Bynum
Respondent(s): Daniel Josey
Respondent Lawyers(s): Daniel Jordan Josey
Arbitrator(s): David Paul Clark
Hearing Site: Charlotte, NC
| | |
| 20-00680 | 09/28/2021 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas Howes
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffery A. Sturgeon
Arbitrator(s): David Paul Clark, Peter J. Pokorny, Thomas Nicastro
Hearing Site: Washington, DC
| | |
| 20-00360 | 08/05/2021 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Robert Satterfield
Respondent Lawyers(s): Dave Scher
Arbitrator(s): David Paul Clark, Geoffrey A. Drucker, Francis Henry Dong
Hearing Site: Washington, DC
| | |
| 19-01707 | 12/10/2020 | Claimant(s): Karen Grant
Claimant Lawyers(s): Karen Grant
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): David Paul Clark, Lisa Blunk Johnson, Peter Matthew Clyne
Hearing Site: Washington, DC
| | $0 |
| 19-01840 | 02/26/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Tracy Kirby
Respondent Lawyers(s): Tracy Ann Kirby
Arbitrator(s): David Paul Clark
Hearing Site: Wilmington, DE
| | |
