| 09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company
Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis
Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs
Hearing Site: Denver, CO
|  | $62,125 |
| 09-05967 | 08/24/2010 | Claimant(s): Henry Hanau, HFN Planning.
Claimant Lawyers(s): Henry Fred Hanau
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
| 09-07167 | 08/05/2010 | Claimant(s): Sadasiva Seshagiri Rao Rayavarapu
Claimant Lawyers(s): Scudder G Stevens
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Wilmington, DE
| | $213 |
| 09-03884 | 08/03/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): James Vihstadt
Respondent(s): Nancy Frain, William Frain
Respondent Lawyers(s): William F. Frain
Arbitrator(s): Chesley Oriel
Hearing Site: Boston, MA
| | $0 |
| 10-00181 | 07/19/2010 | Claimant(s): Hintze Family Revocable Living Trust
Claimant Lawyers(s): Ronald M. Hintze
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Janice L. Burnham
Hearing Site: Norfolk, VA
| | $25,425 |
| 08-04438 | 07/15/2010 | Claimant(s): Hossein Nilipour
Claimant Lawyers(s): Stephen D. Heninger
Respondent(s): TD Ameritrade., Jim Douglass
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven P. Gregory, Laree Payne Kennedy, Charles Lange Clark
Hearing Site: Birmingham, AL
| | Expungement |
| 09-02054 | 07/09/2010 | Claimant(s): Brett Eliason, E. Finch, Veronique Eliason, Daydream Trading, NBF Capital
Claimant Lawyers(s): Matthew R. Lewis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): A. O. Headman, Richard J. Lawrence, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | $6,924,500 |
| 09-07165 | 07/08/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Marc Labate
Respondent Lawyers(s): Marc A. Labate
Arbitrator(s): John K. Boyce
Hearing Site: Houston, TX
| | $0 |
| 08-01128 | 07/08/2010 | Claimant(s): Estate of David Grynberg
Claimant Lawyers(s): Michael Grynberg
Respondent(s): TD Ameritrade., Michael Grynberg
Respondent Lawyers(s): James J. Vihstadt, Michael Grynberg
Arbitrator(s): Rebecca A. Novak, Daniel A. Dolan, Michael S. Lazan
Hearing Site: New York, NY
| | $0 |
| 09-03933 | 06/25/2010 | Claimant(s): Ron Auren, Gal Corporation
Claimant Lawyers(s): Ron Auren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Michael W. Delaney, Esther A. Spachner, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
