| 14-02689 | 03/20/2015 | Claimant(s): Hollye Canez
Claimant Lawyers(s): Hollye Canez
Respondent(s): Capital One Sharebuilder.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
|  | $0 |
| 14-00360 | 07/30/2014 | Claimant(s): Betty Brown
Claimant Lawyers(s): Betty Brown
Respondent(s): Andrew Lenich, Cambridge Investment Research.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | $0 |
| 12-04358 | 03/10/2014 | Claimant(s): Eugenie Scarito
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
| 13-00246 | 07/10/2013 | Claimant(s): Gagan Dang
Claimant Lawyers(s): Gagan D. Dang
Respondent(s): Capital One Sharebuilder.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $600 |
| 10-04993 | 03/28/2013 | Claimant(s): Alberta Thornhill
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Banc of America Investment Services Inc., Capital One Investment Services LLC
Respondent Lawyers(s): Genna Stephens, Todd Ratner
Arbitrator(s): George A. Sellnau, Jonathan Burke Rada, William R. Jonson
Hearing Site: Houston, TX
| | Expungement |
| 11-02704 | 10/16/2012 | Claimant(s): Edmond Helaire, Estate of Nina R. Helaire
Claimant Lawyers(s): Edmond Helaire
Respondent(s): Shelley Moncrief, Hibernia Investment Securities.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jeff Kilgore
Hearing Site: New Orleans, LA
| | $0 |
| 11-01510 | 02/17/2012 | Claimant(s): Diana Calderaio, John Calderaio, Paul Calderaio
Claimant Lawyers(s): John A. Calderaio
Respondent(s): Wells Fargo Advisors, Robert Misener
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
| | $225 |
| 11-00416 | 01/17/2012 | Claimant(s): Martha Thomas, Robert Thomas
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $24,880 |
| 10-04964 | 12/27/2011 | Claimant(s): Rita Lois Robinson Trust
Claimant Lawyers(s): Andrew D Gowdown
Respondent(s): Wells Fargo Advisors, John Hodson
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): J. Kirkland Grant, Susan J. Buckley, Robert P. Porter
Hearing Site: Columbia, SC
| | $0 |
| 10-05692 | 10/18/2011 | Claimant(s): Pamela Poole, Pamela H. Poole IRA, Pamela H. Poole Roth IRA
Claimant Lawyers(s): Todd Ratner
Respondent(s): Overton Graham, RBC Capital Markets LLC
Respondent Lawyers(s): James Cosby
Arbitrator(s): William C. Boinest, Stuart H. Dunn, Leon Henderson
Hearing Site: Richmond, VA
| | $0 |
