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FINRA Awards for TD Ameritrade.

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Displaying 151-160 out of 386 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0000909/14/2017Claimant(s): Louis Adorian
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lawrence M. Green, David Rich, Carl Henry Perdue
Hearing Site: Boca Raton, FL
Checkmark IconDismissed by Rule 12206
16-0090609/12/2017Claimant(s): Overview Productions.
Claimant Lawyers(s): Amanda L. Voivedich
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert D. Sussin, Jasmina T. Boulanger, Jack R. Goetz
Hearing Site: Los Angeles, CA
Checkmark Icon$135,100
17-0067809/12/2017Claimant(s): Merrill Knopf IRA
Claimant Lawyers(s): Merrill Knopf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
Checkmark Icon$1,600
16-0038105/11/2017Claimant(s): Mark Bell
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Bertrand M. Lanchner, Stephen A. Weiner, Marion F. Posner
Hearing Site: New York, NY
Checkmark Icon$0
16-0229802/10/2017Claimant(s): James Tyte, Susan Victoria-Tyte
Claimant Lawyers(s): Susan J. Victoria-Tyte
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Brian J. Burstin
Hearing Site: New York, NY
Checkmark Icon$213
16-0208501/17/2017Claimant(s): Yin Lee
Claimant Lawyers(s): Yin Lee
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
Checkmark Icon$0
15-0166511/22/2016Claimant(s): Praveen Chandra
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mary M. O'Neil, Brent J. Rosenbaum, Michael John Florio
Hearing Site: Las Vegas, NV
Checkmark Icon$0
15-0297811/17/2016Claimant(s): Deborah Hawkins, James Hawkins
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William Mann
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
Checkmark Icon$0
15-0150611/08/2016Claimant(s): Barbara Carney, Leroy Carney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald S. Green, Jonathan H. Krotinger, Philip Aaron Tymon
Hearing Site: Reno, NV
Checkmark Icon$0
14-0320610/28/2016Claimant(s): Paul Levy
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Mark S. Foster, Thomas B. Phillips, Michael D. Fitzgerald
Hearing Site: Kansas City, MO
Checkmark Icon$0

386 Results

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