| 21-00156 | 09/16/2021 | Claimant(s): Payden Bullis, Rene Rojas
Claimant Lawyers(s): David Monsour
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Rachael Conley
Arbitrator(s): Sandra L. Malek
Hearing Site: Phoenix, AZ
| | |
| 19-02734 | 09/16/2021 | Claimant(s): Patrick Taylor
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Dennis Murphy, Jamaal Potter, James Webb, Cape Securities Inc.
Respondent Lawyers(s): Dennis James Murphy, Jamaal Nathan Potter, Judy A. Newcomb
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
|  | $57,035 |
| 20-02623 | 09/16/2021 | Claimant(s): FPP CIS Opportunities Fund, L.P.
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Judith C. Zerden, Kinchen C. Bizzell, Lawrence Williams
Hearing Site: New York, NY
| | $1,881,500 |
| 20-01798 | 09/15/2021 | Claimant(s): Elvie Moore, Esther Buckram, Maureen Dowe
Claimant Lawyers(s): Max Folkenflik
Respondent(s): Eric Schwimmer, Prudential Financial.
Respondent Lawyers(s): Vincent A. Sama
Arbitrator(s): Leona Beane, Linda J. Baer, Noah Jonathan Hanft
Hearing Site: New York, NY
| | |
| 20-03118 | 09/15/2021 | Claimant(s): Jay Cunningham
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | |
| 21-00023 | 09/15/2021 | Claimant(s): Grant Cleghorn, Stephen Saeta
Claimant Lawyers(s): Zachary Morse
Respondent(s): Parnassus Funds Distributor
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-00356 | 09/15/2021 | Claimant(s): Thomas Seiler
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A Pizzitola
Arbitrator(s): John J. Jordan, Thomas Naylor, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | |
| 19-02550 | 09/15/2021 | Claimant(s): Harriet Ferber 2012 Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Samuel Olutola Akeju, G. Dennis Sheehan, William James Smith
Hearing Site: Houston, TX
| | $358,131 |
| 20-01958 | 09/15/2021 | Claimant(s): Ernest Guenin, Monique Guenin
Claimant Lawyers(s): Peter M. Good
Respondent(s): Joseph Trifiletti, Stephen Distante, Stephen Trask, Steven Howe, Thomas Murphy, Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $200,000 |
| 20-04089 | 09/15/2021 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504(a)(6)(A) |
