| 18-04126 | 02/13/2020 | Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
|  | $0 |
| 18-04133 | 12/12/2019 | Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-01147 | 10/10/2019 | Claimant(s): Virginia Transfomer., Prabhat Jain, Santosh Jain
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Elliot B. Platt, Donita M. King, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 17-00150 | 11/07/2018 | Claimant(s): Edith M. Wachsner Trust
Claimant Lawyers(s): Henry I. Willett
Respondent(s): Kent Engelke, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): James A. Hayes, Robert Charkovsky, Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | Expungement |
| 18-01699 | 09/11/2018 | Claimant(s): Tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Babu Ramaraj
Respondent Lawyers(s): Babu Ramaraj
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 17-02254 | 03/13/2018 | Claimant(s): Janice Creasy
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Jordan Cooper, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | $0 |
| 17-00763 | 12/04/2017 | Claimant(s): Kyle Almond, Lynn Almond
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Edward Jones
Respondent Lawyers(s): Anitra T. Cassas
Arbitrator(s): Rochelle K. Kaplan, Tina E. Patterson, Carl F. Bowmer
Hearing Site: Richmond, VA
| | Dismissed by Rule 12206 |
| 15-03035 | 01/10/2017 | Claimant(s): George Sofis, Preya Saroop, Rohit Saroop
Claimant Lawyers(s): David Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Cameron Stout
Arbitrator(s): Edward Blumstein, Carol A. Schuyler, Simon Jonathan Lawrence
Hearing Site: Richmond, VA
| | $1,544,800 |
| 16-00213 | 08/23/2016 | Claimant(s): Billy Hackworth
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Richard E. Lauziere
Hearing Site: Richmond, VA
| | $213 |
