| 14-01415 | 08/05/2016 | Claimant(s): Susan Mueller
Claimant Lawyers(s): Dale R. Jensen
Respondent(s): David Thompson, Wall Street Financial Group.
Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg
Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson
Hearing Site: Richmond, VA
|  | $0 |
| 15-03158 | 06/03/2016 | Claimant(s): Michael Stott
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Anthony Minerva, Daniel Dvorznak, Gregory Dean, Michael Valdini
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
| | $300 |
| 15-01300 | 04/29/2016 | Claimant(s): Billy Hackworth, Joe Parker
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Robert D. Perrow
Arbitrator(s): Donald B. Vaden
Hearing Site: Richmond, VA
| | $49,000 |
| 15-01981 | 04/26/2016 | Claimant(s): Thomas Cresce
Claimant Lawyers(s): Joseph T. Trapeni
Respondent(s): Kevin Beck, Stuart Youngentob, NFP Advisor Services
Respondent Lawyers(s): Kelsey Hotchkiss
Arbitrator(s): Michael J. Henke
Hearing Site: Richmond, VA
| | $0 |
| 14-02072 | 04/18/2016 | Claimant(s): Sutton Investment LLC
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Jo Lanier Meeks
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | $12,996 |
| 14-01456 | 01/29/2016 | Claimant(s): E. Gerald Eigenfeld, Norma Eigenfeld
Claimant Lawyers(s): William G. Shields
Respondent(s): Patrick Ayers, Ayers Financial Services, ING Financial Partners.
Respondent Lawyers(s): C. Bryce Benson
Arbitrator(s): Richard E. Lauziere, Janice L. Burnham, Overman Randolph Rollins
Hearing Site: Richmond, VA
| | $0 |
| 14-00531 | 07/02/2015 | Claimant(s): Dennis Sellers
Claimant Lawyers(s): Joshua B. Kons
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Vicky L. Orem
Hearing Site: Richmond, VA
| | Expungement |
| 14-01420 | 04/22/2015 | Claimant(s): Daniel Knopp, Greg Warnock, Rita Hayes, Shawn Hayes
Claimant Lawyers(s): Edward B. Lowry
Respondent(s): James Crawford, Neal Woodard
Respondent Lawyers(s): Kevin M. Rose
Arbitrator(s): Stuart H. Dunn, W. Scott Greco
Hearing Site: Richmond, VA
| | $280,300 |
| 14-03130 | 04/16/2015 | Claimant(s): Mahdi Asadnia
Claimant Lawyers(s): Mahdi Asadnia
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): David Edward Upton
Hearing Site: Richmond, VA
| | $0 |
| 12-02766 | 02/17/2015 | Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $666,618 |
