| 23-01721 | 09/10/2024 | Claimant(s): William Collier
Claimant Lawyers(s): William O. Collier
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Joyce A. Mitchell, David Paul Clark, David Ivan Brochstein
Hearing Site: Richmond, VA
|  | $0 |
| 21-02289 | 01/02/2024 | Claimant(s): Justin Naughton
Claimant Lawyers(s): Dennis E. Boyle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Joseph J. Dougherty, Overman Randolph Rollins, Elizabeth Flannagan Edwards
Hearing Site: Richmond, VA
| | $75,603 |
| 23-01066 | 09/01/2023 | Claimant(s): Vande Vrede Family Trust
Claimant Lawyers(s): Kenneth Vande Vrede
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Michael I. White
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Richmond, VA
| | $300 |
| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
| | Expungement |
| 21-00625 | 09/16/2022 | Claimant(s): Jaivin Karnani
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Futu Inc
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Arthur B. O'Connell, Carl F. Bowmer, Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | $0 |
| 21-02815 | 07/06/2022 | Claimant(s): Monique Sessler
Claimant Lawyers(s): Meghan McElligott
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
| | Expungement |
| 20-00320 | 05/25/2021 | Claimant(s): Charles Hailey, Karen Hailey
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Westpark Capital.
Respondent Lawyers(s): Julie E. Kamps
Arbitrator(s): Carol A. Schuyler, Geoffrey A. Drucker, Tony J Lawrence
Hearing Site: Richmond, VA
| | $794,432 |
| 20-00017 | 10/29/2020 | Claimant(s): Chantal Pitaud
Claimant Lawyers(s): Chantal Pitaud
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jim Geiger, Joseph J. Dougherty, Geoffrey A. Drucker
Hearing Site: Richmond, VA
| | $0 |
| 19-01757 | 08/25/2020 | Claimant(s): Antoine Hill
Claimant Lawyers(s): Thomas H. Roberts
Respondent(s): Andrew Donnelly, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Elliot B. Platt, Gordon M. Wase, Jane Tam
Hearing Site: Richmond, VA
| | $0 |
| 19-01955 | 02/14/2020 | Claimant(s): Tommy Dewitt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Brent Porges, David Cannata, Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Craig Taddonio, David Charles Cannata
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | $50,000 |
