| 23-01389 | 07/16/2024 | Claimant(s): David Hartmann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): David Page, SW Financial
Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page
Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank
Hearing Site: New York, NY
|  | $135,000 |
| 23-02879 | 07/16/2024 | Claimant(s): Carrie-Beth Randall
Claimant Lawyers(s): William F. Ray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Langfred W. White, Harvey R. Linder, Laree Payne Kennedy
Hearing Site: Jackson, MS
| | |
| 23-01761 | 07/16/2024 | Claimant(s): Gabriel Jaramillo
Claimant Lawyers(s): Gabriel Jaramillo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Dimissed by Rule 12504(b) |
| 23-01249 | 07/15/2024 | Claimant(s): Eric Silvestre
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-02073 | 07/15/2024 | Claimant(s): Timothy Walsh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): World Choice Securities.
Respondent Lawyers(s): Robert K. Cargin
Arbitrator(s): Ross B. Russell
Hearing Site: Dallas, TX
| | |
| 24-00249 | 07/15/2024 | Claimant(s): Kevin Houser
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier, Jon D. Kaplon
Arbitrator(s): Nancy E. Watters, Daniel James Kortum, Mark A Bilawsky
Hearing Site: Philadelphia, PA
| | |
| 23-02888 | 07/15/2024 | Claimant(s): Clayton Gibson
Claimant Lawyers(s): Alex Padla
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 23-02767 | 07/15/2024 | Claimant(s): Devin McCabe
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Laidlaw & Company (UK) LTD.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): Randy R Freedman
Hearing Site: Boca Raton, FL
| | |
| 23-03020 | 07/15/2024 | Claimant(s): Jeffrey Klotz
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 23-01031 | 07/15/2024 | Claimant(s): Sandra Scullen, Sandra M. Scullen IRA
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Securities America.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Louis J. Weber, Eric Ross Cromartie, Michael Wayne Johnston
Hearing Site: Dallas, TX
| | $0 |
