| 09-04137 | 12/22/2009 | Claimant(s): Spruce Cliff Investments Ltd.
Claimant Lawyers(s): Brian Gracey
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine C. Luth
Arbitrator(s): Eric P. Nachman
Hearing Site: New York, NY
|  | $25,425 |
| 09-00378 | 12/22/2009 | Claimant(s): Vasu Arora
Claimant Lawyers(s): Vasu D. Arora
Respondent(s): TD Ameritrade., Joseph Moglia
Respondent Lawyers(s): Brad S. Daniels, Lois O. Rosenbaum
Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 09-03308 | 11/25/2009 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Kristina Goldfield
Respondent Lawyers(s): Kristina Goldfield
Arbitrator(s): Richard R. Logsdon
Hearing Site: Clearwater, FL
| | |
| 08-04168 | 11/20/2009 | Claimant(s): Amar Paul Sawhney
Claimant Lawyers(s): Amar Paul Singh Sawhney
Respondent(s): Brian Furrow, Frank Sullivan, TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Robert C. Upton, Allen J. Krouse, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $0 |
| 08-03614 | 11/19/2009 | Claimant(s): James Jones
Claimant Lawyers(s): James M. Jones
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maxel (Bud) B. Silverberg, Kurt L. Smith, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 08-03846 | 11/06/2009 | Claimant(s): Martha Laura Howse
Claimant Lawyers(s): Martha Howse
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Constance d'Angelis, A. Michelle Jernigan, Julie Behr Zimmerman
Hearing Site: Orlando, FL
| | $225 |
| 08-03348 | 10/01/2009 | Claimant(s): Matthew Proman
Claimant Lawyers(s): Randy Scott Zelin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert E. Holley, Frank J. Spencer
Hearing Site: New York, NY
| | $15,925 |
| 09-00766 | 09/30/2009 | Claimant(s): Michael Sprei
Claimant Lawyers(s): Michael Sprei
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $1,473 |
| 09-00209 | 09/30/2009 | Claimant(s): Elliott Sklar and Naomi Sklar, Elliott Sklar and Naomi Sklar Trust
Claimant Lawyers(s): Elliott Sklar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 05-00165 | 09/29/2009 | Claimant(s): David Sherman
Claimant Lawyers(s): David E. Sherman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | $0 |
