| 21-02656 | 03/30/2022 | Claimant(s): Michael Braun IRA
Claimant Lawyers(s): Michael Braun
Respondent(s): Rydex Distributors.
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Michael Charles Peek
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12504 |
| 20-04089 | 09/15/2021 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504(a)(6)(A) |
| 18-03600 | 08/14/2020 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Michael J. Meeusen, Raymond M. Kirtley, Jill Elise Vestal
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12206/12504 |
| 13-02451 | 09/22/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael Braun
Respondent(s): David Chun
Respondent Lawyers(s): David W. Chun
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY
| | |
