| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
