| 20-03780 | 06/22/2022 | Claimant(s): Lee White
Claimant Lawyers(s): Lee White
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
|  | $0 |
| 20-04077 | 06/22/2022 | Claimant(s): Jacques Soileau, Jennifer Plauche Soileau, Nexgen Investments
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Barbara L. Edin, Donald Cole Massey, Linda Genevieve Bizzarro
Hearing Site: New Orleans, LA
| | $975,606 |
| 20-04115 | 06/21/2022 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Michael Dellaporta, Fusion Analytics Securities
Respondent Lawyers(s): Joseph Conte, Michael Joseph Dellaporta
Arbitrator(s): Nancy J. Cliff, Stephen Kahane, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504(d) |
| 21-01389 | 06/17/2022 | Claimant(s): Nicholas Agnone
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Investors Capital Corp.
Respondent Lawyers(s): David Feldstein, James V. Noblett
Arbitrator(s): Sam Antar, Paul M. Friedman, Evan Powell
Hearing Site: New York, NY
| | |
| 21-02210 | 06/17/2022 | Claimant(s): Douglas Hillebrandt
Claimant Lawyers(s): Christopher Warren
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Robert H. Putnam
Hearing Site: Norfolk, VA
| | |
| 21-02798 | 06/17/2022 | Claimant(s): William Harrison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 21-02945 | 06/17/2022 | Claimant(s): Eric Rosenberg
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): GW & Wade Asset Management Company
Respondent Lawyers(s): Matthew G. Valentine
Arbitrator(s): Gerard S. Marsan, Howard N. Gorney, John R. Snyder
Hearing Site: Boston, MA
| | |
| 22-00072 | 06/17/2022 | Claimant(s): Annette Findling
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 21-02593 | 06/17/2022 | Claimant(s): Mau Cong
Claimant Lawyers(s): Mau Cong
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 20-02510 | 06/17/2022 | Claimant(s): Robert Ihrig, Susan Ihrig
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
| | $12,000 |
