| 11-01571 | 03/20/2012 | Claimant(s): Shari Weidenbaum, Walter Weidenbaum, Walter Weidenbaum IRA, Walter Weidenbaum Trust UA 4/25/02
Claimant Lawyers(s): Walter Wiedenbaum
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
|  | $75 |
| 11-02896 | 02/24/2012 | Claimant(s): Daniel McCarthy
Claimant Lawyers(s): Dan McCarthy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
| 11-02225 | 02/09/2012 | Claimant(s): Rickey Brogan
Claimant Lawyers(s): Rickey Lynn Brogan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Arthur L. Tepper
Hearing Site: Nashville, TN
| | $0 |
| 11-00981 | 01/31/2012 | Claimant(s): Robert King
Claimant Lawyers(s): Robert C. King
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Michael Lau
Hearing Site: Boca Raton, FL
| | $14,600 |
| 09-02085 | 01/04/2012 | Claimant(s): Kin Lee and Fanny Ling S. Tsui
Claimant Lawyers(s): Peter Mark Bizinkauskas
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Edward M. Rosensteel, Missy Daboul Margolis, Frank A. Yee, Leon E. Byng
Hearing Site: Boston, MA
| | $59,092 |
| 10-01674 | 12/27/2011 | Claimant(s): Harry Dines & Esther Dines TRS FBO, Harry Dines Revocable Living Trust
Claimant Lawyers(s): James R. Anderson
Respondent(s): TD Ameritrade., Warren Castor
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Matthew W. Schlegel, Terrance J. Dorcy, Patrick A. Guentner
Hearing Site: Detroit, MI
| | Expungement |
| 10-03514 | 10/27/2011 | Claimant(s): James Welsh
Claimant Lawyers(s): John R. Kiefner
Respondent(s): TD Ameritrade., Bellevue Chicago
Respondent Lawyers(s): Brent T. Starks, Justin Garbaccio
Arbitrator(s): Langfred W. White, Gregory D. Hoffmann, Jonathan H. Stein
Hearing Site: Tampa, FL
| | $40,110 |
| 10-05785 | 09/29/2011 | Claimant(s): Orval Beckmon
Claimant Lawyers(s): Barry D. Estell
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Hayes, Wilburta Ann Willey, John James Rubin
Hearing Site: Wichita, KS
| | $0 |
| 10-00377 | 08/04/2011 | Claimant(s): Anne Erickson, Robert Erickson
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Craig Johnsen, TD Ameritrade., Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group LLC
Respondent Lawyers(s): James J. Vihstadt, William E. Fitzharris
Arbitrator(s): John A. Bender, Thomas D. Cochran, Richard L. Warner
Hearing Site: Seattle, WA
| | $65,013 |
| 10-00353 | 07/21/2011 | Claimant(s): Keith Newman, Shaila Newman
Claimant Lawyers(s): Keith Newman, Shaila Newman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Randall W Heinrich
Hearing Site: Houston, TX
| | $0 |
