| 20-03360 | 02/03/2021 | Claimant(s): Gary Mass
Claimant Lawyers(s): Gary Mass
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
|  | $0 |
| 20-02569 | 12/24/2020 | Claimant(s): Frank Cogliano
Claimant Lawyers(s): Frank Cogliano
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
| | $25 |
| 20-01050 | 11/06/2020 | Claimant(s): Victor Wickwire
Claimant Lawyers(s): Thomas R Wickwire
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Anchorage, AK
| | $22,929 |
| 20-00338 | 06/25/2020 | Claimant(s): William DeFeo
Claimant Lawyers(s): William Defeo
Respondent(s): TD Ameritrade Clearing., TD Ameritrade., TD Ameritrade Investment Management LLC
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $125 |
| 19-00085 | 10/30/2019 | Claimant(s): Palm Beach Equity Financing Fund
Claimant Lawyers(s): John W. Townshend
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Mary Elizabeth Skelnik, Sheldon Weinhaus, Joseph Neal Richardson
Hearing Site: Little Rock, AR
| | $0 |
| 18-00253 | 08/29/2019 | Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
| | $721,117 |
| 16-02506 | 07/12/2018 | Claimant(s): Sheldon & Judith Ferkey Revocable Trust
Claimant Lawyers(s): Michael Schaalman
Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey
Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman
Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker
Hearing Site: Milwaukee, WI
| | $0 |
| 16-02792 | 12/01/2017 | Claimant(s): William Roberts
Claimant Lawyers(s): William J. Roberts
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Peter D. Steinbroner, Paul Isaac Matloff, Rosalind Elaine Stevenson
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00336 | 05/17/2017 | Claimant(s): Kathy McKendry
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): TD Ameritrade Clearing., Kirk Spano, Bluemound Asset Management
Respondent Lawyers(s): Amanda Wright, Kirk Spano
Arbitrator(s): P. J. Boylan, David J. Hase, Philip J. Glick
Hearing Site: Milwaukee, WI
| | Stipulated Award |
| 16-01614 | 10/18/2016 | Claimant(s): Jacob Podber
Claimant Lawyers(s): Jacob Podber
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | $56 |
