| 17-00078 | 02/08/2019 | Claimant(s): Sam Freeland
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory D. Hoffmann, A. Ronald Tonks, Irwin Venick
Hearing Site: Nashville, TN
|  | $15,000 |
| 17-03437 | 01/07/2019 | Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
| | Expungement |
| 15-02387 | 12/14/2018 | Claimant(s): El Capitan Limited Corporation
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Jeffrey M. Allen, Lawrence R. Mills, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
| | $0 |
| 17-02665 | 12/13/2018 | Claimant(s): Rajiv Nagesetty& Neesha Pammi RevocTrust
Claimant Lawyers(s): Rick Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | $0 |
| 17-01642 | 12/12/2018 | Claimant(s): Congregation Machzikei Hadas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): Ted M. Rosen, Clive I. Morrick, Deborah Nadine Kaminer
Hearing Site: New York, NY
| | $0 |
| 18-01257 | 10/25/2018 | Claimant(s): Adolphus Bratton
Claimant Lawyers(s): Adolphus Bratton
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $88 |
| 18-02259 | 10/16/2018 | Claimant(s): 10 Casper Partners LLC
Claimant Lawyers(s): David L. Ball
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Howard Alan Grinsberg
Hearing Site: Newark, NJ
| | $0 |
| 15-01108 | 10/08/2018 | Claimant(s): Mary Whalen
Claimant Lawyers(s): Tyler Korn
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James Vihstadt
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 18-01470 | 09/26/2018 | Claimant(s): Michelle Banasch
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Carol M. Egan
Hearing Site: Honolulu, HI
| | $17,703 |
| 17-03166 | 09/21/2018 | Claimant(s): Guang Liu Ling and Anna Ling
Claimant Lawyers(s): Kai Y. Gao
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $0 |
