| 21-01158 | 02/28/2022 | Claimant(s): Xuehong Sun
Claimant Lawyers(s): Xuehong Sun
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
|  | $0 |
| 19-01077 | 02/25/2022 | Claimant(s): Erik Napp
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Rory M. McLaughlin, Lorraine Marie Brennan, Steven Bauer Malkenson
Hearing Site: New York, NY
| | |
| 21-01373 | 02/25/2022 | Claimant(s): Ruben Tarkhanyan
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Assetmark Brokerage
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 21-01480 | 02/25/2022 | Claimant(s): James Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services., Dominion Capital Corporation
Respondent Lawyers(s): David Feldstein, Douglas W. Powell
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 21-01552 | 02/25/2022 | Claimant(s): Richard Miller
Claimant Lawyers(s): Zachary Morse
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | |
| 21-01746 | 02/25/2022 | Claimant(s): William Paschal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones, A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolf, Jonathan W. Hackbarth
Arbitrator(s): Theodore Haynes
Hearing Site: Columbia, SC
| | |
| 21-02952 | 02/25/2022 | Claimant(s): Alejandro Gonzalez
Claimant Lawyers(s): Thomas M. McHugh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 21-00928 | 02/25/2022 | Claimant(s): Zahid Awan
Claimant Lawyers(s): Zahid H Awan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212/12511 |
| 20-00599 | 02/25/2022 | Claimant(s): Nicholas M. Del Ninno, IRA
Claimant Lawyers(s): Andrew M. Greenidge
Respondent(s): Robert W. Baird & Co. Incorporated, J.J.B. Hilliard, W.L. Lyons, Randal Master
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): David M. Snyder, Shameeka E. Quallo, Dwayne Eddie Hickman
Hearing Site: Orlando, FL
| | Expungement |
| 20-03291 | 02/25/2022 | Claimant(s): Robert Refice IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gordon M. Wase, Kathleen Jones Spilker, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
