| 23-01577 | 09/05/2024 | Claimant(s): Lester Berman
Claimant Lawyers(s): John Owen Murrin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Erik R. Siering, Jeffrey L. Malek, Randall William Clow
Hearing Site: Los Angeles, CA
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| 24-01263 | 09/05/2024 | Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Dexter B. Johnson
Respondent(s): Vincent Sharpe
Respondent Lawyers(s): Vincent Anthony Sharpe
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 23-03477 | 09/05/2024 | Claimant(s): Charles Sonnenblick, Mark Sonnenblick
Claimant Lawyers(s): Thomas Perry
Respondent(s): Cadaret, Grant & Co..
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 23-02978 | 09/05/2024 | Claimant(s): Christopher Hobart, Steven Greer
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager
Arbitrator(s): James Michael Belk, Rupert Ripley Sizemore, Jerry E Long
Hearing Site: Charlotte, NC
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| 23-03514 | 09/05/2024 | Claimant(s): Erik Snyder, Richard Hargis
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Diane Ciccone, Carol H. Gold, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
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| 23-02778 | 09/05/2024 | Claimant(s): Joseph Michaletz
Claimant Lawyers(s): Nathan Lamb
Respondent(s): DAI Securities
Respondent Lawyers(s): Ernest G. Strauss
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 23-01683 | 09/05/2024 | Claimant(s): Jessica Jung
Claimant Lawyers(s): Andrew S. May
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Richard S. Zaifert, Robert William Copeland, Douglas Charles Weinstein
Hearing Site: Nashville, TN
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| 23-03262 | 09/04/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Bryan Hicks
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
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| 23-00800 | 09/04/2024 | Claimant(s): Lin Ren
Claimant Lawyers(s): Caleb Kruckenberg
Respondent(s): Truist Investment Services., Yeoshen Tsui, Yu Tang
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Daniel J. Donovan, Larry E. Ray, Geoffrey A. Drucker
Hearing Site: Baltimore, MD
| | Expungement |
| 23-03016 | 09/04/2024 | Claimant(s): Nathanael Downs
Claimant Lawyers(s): Alex Padla
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Boise, ID
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