| 21-00465 | 06/21/2021 | Claimant(s): Rupesh Parajuli
Claimant Lawyers(s): Rupesh Parajuli
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Diane Ciccone
Hearing Site: Hartford, CT
|  | $600 |
| 20-00961 | 06/18/2021 | Claimant(s): Theresa McTague
Claimant Lawyers(s): William Pete Nacy
Respondent(s): James Louderbaugh, Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Mark L. Williams, Karen Roberts Washington, Robert G Cass
Hearing Site: Oklahoma City, OK
| | Expungement |
| 19-02141 | 06/18/2021 | Claimant(s): Osiris Pared
Claimant Lawyers(s): Osiris Anthony Pared
Respondent(s): Carmen Trigo Suarez, Santander Securities LLC, Marko Rendic
Respondent Lawyers(s): Carmen Georgina Trigo Suarez, Frances Pesquera, Mauricio O. Muniz Luciano
Arbitrator(s): Robert G. Bannon, Ronald Childress, William G Brown
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 21-00374 | 06/18/2021 | Claimant(s): David White
Claimant Lawyers(s): David White
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Karl A. Vogeler
Hearing Site: Jackson, MS
| | $31,735 |
| 17-03260 | 06/17/2021 | Claimant(s): James Sturdivant
Claimant Lawyers(s): Andrew Campbell
Respondent(s): Clinton Holland, Marc Ferries
Respondent Lawyers(s): Charles W. Carnese
Arbitrator(s): James E. Bartels, Gideon Daniel Caron
Hearing Site: Portland, OR
| | |
| 20-02119 | 06/17/2021 | Claimant(s): Robert Rotunno
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
| | |
| 20-02605 | 06/17/2021 | Claimant(s): Frederick Baerenz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 20-02649 | 06/17/2021 | Claimant(s): Ying Zhang
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Patrick Mulligan
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 17-01718 | 06/16/2021 | Claimant(s): Kayvan Karoon, KS Capital Management
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Leslie Ruth Nydick, James M. Rhodes, Antonio Di Palma
Hearing Site: Jersey City, NJ
| | |
| 20-01471 | 06/16/2021 | Claimant(s): Craig Pearlman
Claimant Lawyers(s): Jacob L. Kahn
Respondent(s): MMC Securities LLC
Respondent Lawyers(s): Benjamin Emmert
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
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