| 23-03262 | 09/04/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Bryan Hicks
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
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| 23-00800 | 09/04/2024 | Claimant(s): Lin Ren
Claimant Lawyers(s): Caleb Kruckenberg
Respondent(s): Truist Investment Services., Yeoshen Tsui, Yu Tang
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Daniel J. Donovan, Larry E. Ray, Geoffrey A. Drucker
Hearing Site: Baltimore, MD
|  | Expungement |
| 23-03016 | 09/04/2024 | Claimant(s): Nathanael Downs
Claimant Lawyers(s): Alex Padla
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Boise, ID
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| 22-01977 | 09/04/2024 | Claimant(s): Ravdeep Bhasin
Claimant Lawyers(s): Ravdeep Singh Bhasin
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): John J. Fitzpatrick, Carol Ann Jensen, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
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| 22-01852 | 09/04/2024 | Claimant(s): Yousef Bhatti
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Eric Ross Cromartie, Dianne Connally Betts, Michelle Prudhomme-Coleman
Hearing Site: Dallas, TX
| | |
| 23-00008 | 09/03/2024 | Claimant(s): Leo Delancey, Scott Kimball
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): David Dahill, Realized Financial.
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Cynthia Cashman Makin
Hearing Site: San Diego, CA
| | Expungement |
| 23-03384 | 09/03/2024 | Claimant(s): Kenneth Grover
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Wells Fargo Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan
Hearing Site: Salt Lake City, UT
| | $0 |
| 23-02050 | 09/03/2024 | Claimant(s): Billy Howard
Claimant Lawyers(s): Craig S. Sternberg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Stephany Adriene Watson, Jonathan Michael Bensky, David Seiyei Wakukawa
Hearing Site: Seattle, WA
| | |
| 23-02373 | 09/03/2024 | Claimant(s): Edi Pouldar, Robert Pouldar
Claimant Lawyers(s): Kevin Pouldar
Respondent(s): Akiva Fialkoff, J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | Expungement |
| 23-02754 | 08/30/2024 | Claimant(s): Michael Beard
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Denver, CO
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