23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust Claimant Lawyers(s): Michael S. Hill Respondent(s): Farid Farhoumand Respondent Lawyers(s): Lydia R. Zaidman Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
23-02655 | 01/26/2024 | Claimant(s): Marshall Manoff Claimant Lawyers(s): Brittany Weiner Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Ellyn S. Roth Hearing Site: New York, NY
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21-01271 | 01/26/2024 | Claimant(s): Katharine Constable Claimant Lawyers(s): Andrew D. O'Toole Respondent(s): Frank Epinger, J.P. Morgan Securities, Jacqueline Rahn, Jonathan Galan, Trevor Rahn Respondent Lawyers(s): David Harrison, Dexter B. Johnson, Eugene L. Small, Michael M. Wilson Arbitrator(s): Diane Ciccone, Steven R. Rolnick, David Adams Reif Hearing Site: Hartford, CT
| | Expungement |
23-02043 | 01/26/2024 | Claimant(s): Charles Teixeira Claimant Lawyers(s): Stephan Louviere Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): John Michael Bergin Hearing Site: New York, NY
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22-01915 | 01/26/2024 | Claimant(s): Paul De Villeneuve Claimant Lawyers(s): Paul Y. De Villeneuve Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Daniel R. Korb Arbitrator(s): Marjorie Levine, Hammed Adeniyi, Jonathan Blank Hearing Site: New York, NY
| | $440 |
23-02425 | 01/26/2024 | Claimant(s): Kayla Nguyen Claimant Lawyers(s): Kayla Nguyen Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Lawrence R. Maxwell Hearing Site: Dallas, TX
| | $0 |
23-00520 | 01/25/2024 | Claimant(s): Keith Medeck Claimant Lawyers(s): Craig A. Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Karen Isabel Bedrosian - Richardson, Jonathan Cooper, Louis Arnold Russo Hearing Site: New York, NY
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22-02492 | 01/25/2024 | Claimant(s): David Pritchett Claimant Lawyers(s): Philip J. Snyderburn Respondent(s): International Assets Advisory Respondent Lawyers(s): Bryan M. Ward Arbitrator(s): Guno Orlando Ritfeld, Mary Ann Etzler, Jorge R Quintana Hearing Site: Orlando, FL
| | $15,479 |
23-00549 | 01/25/2024 | Claimant(s): Ray Anthony San Pedro Claimant Lawyers(s): Craig A. Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Veera V. Konka, Annamaria Boccia Smith, Lisa Lograno Hearing Site: New York, NY
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23-01459 | 01/25/2024 | Claimant(s): Michael Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BB&T Securities Respondent Lawyers(s): Ella Beres Arbitrator(s): Joseph J. Dougherty Hearing Site: Richmond, VA
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