21-01228 | 12/23/2022 | Claimant(s): Steve Heng Claimant Lawyers(s): Melinda Jane Steuer Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Edward B. Lozowicki, Della Stein, Robert W Hillman Hearing Site: San Francisco, CA
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21-01981 | 12/23/2022 | Claimant(s): Robert Minikes Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): Mizuho Securities USA LLC Respondent Lawyers(s): Edward M. Yennock Arbitrator(s): Dora M. Lassinger, Donald N. Cohen, Ernesto V. Luzzatto Hearing Site: New York, NY
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22-00266 | 12/23/2022 | Claimant(s): Tayvon Jackson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): Kelli J. Jareaux Hearing Site: Washington, DC
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22-00938 | 12/23/2022 | Claimant(s): Steven Maurer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Nichols, Safina, Lerner & Co. Inc., Josephthal & Co.. Respondent Lawyers(s): CT Corporate Systemoration Service Company Arbitrator(s): Veronica Ann Williams Hearing Site: New York, NY
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21-01693 | 12/23/2022 | Claimant(s): Guohua Wang Claimant Lawyers(s): Andrew W. Robertson Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Mark T. Drooks Arbitrator(s): Kirtley M. Thiesmeyer, Michael Lawrence Chappell, Aaron Nathan Shechet Hearing Site: Los Angeles, CA
| | $0 |
22-01401 | 12/23/2022 | Claimant(s): Richard Hauser Claimant Lawyers(s): Richard M. Hauser Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Mark W Solock Hearing Site: Milwaukee, WI
| | $0 |
22-01757 | 12/23/2022 | Claimant(s): Mary Cimmet Claimant Lawyers(s): Mary Lyon Cimmet Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Mary Kathleen Mackey Hearing Site: San Francisco, CA
| | $225 |
20-02401 | 12/23/2022 | Claimant(s): Ramakrishna Chav MD PA, for its 401Ks, Ramakrishna Chava MD PA, for its PSP, Ramakrishna Chava, for his Roth IRA, for his SEP IRA, Chava Family LP, a Partnership, Ramakrishna Chava as Trustee Claimant Lawyers(s): Steven D. Toskes Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred Knopf Arbitrator(s): Sherry R. Wetsch, Allan R. Lazor, Lisa Lemons Hearing Site: Houston, TX
| | Expungement |
20-03910 | 12/23/2022 | Claimant(s): Diane Pomponio Claimant Lawyers(s): Diane Pomponio Respondent(s): David Lerner Associates. Respondent Lawyers(s): Michael G. Shannon Arbitrator(s): Cheryl H. Agris, Lorrie E Whitfield, John Warner Lowe Hearing Site: New York, NY
| | Expungement |
21-00063 | 12/23/2022 | Claimant(s): Kimberly Scherer Claimant Lawyers(s): Kimberly K. Scherer Respondent(s): Christopher Carolan, Morgan Stanley, John Palumbo Respondent Lawyers(s): Jeff Palmer Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA
| | Expungement |