| 21-00562 | 02/18/2022 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Aime Dempsey
Respondent(s): Timothy Henry
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): B. John Dill, Daniel Lachar, John C Solomon
Hearing Site: Boston, MA
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| 21-01360 | 02/18/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Keen Growth Capital Fund II LP
Respondent Lawyers(s): Howard N. Kahn
Arbitrator(s): David M. Snyder
Hearing Site: Tampa, FL
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| 21-01781 | 02/18/2022 | Claimant(s): Donald Albach
Claimant Lawyers(s): Stephan Louviere
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
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| 21-02026 | 02/18/2022 | Claimant(s): Dennis Franklin
Claimant Lawyers(s): Cheryl S. Chang
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 21-00674 | 02/18/2022 | Claimant(s): Yiqun Lu
Claimant Lawyers(s): Yiqun Lu
Respondent(s): Wing Kei Chan, Futu Clearing Inc, Interactive Brokers Corp., Interactive Brokers LLC
Respondent Lawyers(s): Cameron Matheson, Jason O. Billy
Arbitrator(s): Robert Rosen
Hearing Site: Las Vegas, NV
|  | Expungement |
| 20-03575 | 02/18/2022 | Claimant(s): Michael Goldstein
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Michael Tate, Nikolai Papa, Securian Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Sarah Jane Militello, Robert James Favole, Michael Zatkin
Hearing Site: San Francisco, CA
| | Expungement |
| 18-01782 | 02/17/2022 | Claimant(s): Alicia Cabouli
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Leona Beane, Robin H. Gise, Regina Waynes Joseph
Hearing Site: New York, NY
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| 19-02175 | 02/17/2022 | Claimant(s): Michael Holland
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Joyce A. Mitchell, James Howell Garrison, Stephen Edwin Anderson
Hearing Site: Charlotte, NC
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| 19-03501 | 02/17/2022 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Harris Chan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis M. Lagalante, Maria V. Martin
Arbitrator(s): Susan C Lushing, Blueth Bromfield, Michael A Pickholz
Hearing Site: New York, NY
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| 20-00743 | 02/17/2022 | Claimant(s): Gary Kovach
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Kovack Securities Inc, Brian Kovack
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Jeffrey M. Bain, Peggy Foley Jones, Kevin Brodar
Hearing Site: Cleveland, OH
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