| 18-03763 | 01/09/2020 | Claimant(s): Lauren Flynn
Claimant Lawyers(s): Lauren Terri Flynn
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Steven Mellen
Arbitrator(s): Ian S. Greig, James A. Hayes, Mauricio Arcadier
Hearing Site: Columbia, SC
|  | Dismissed by Rule 12212(c) |
| 17-01393 | 05/29/2019 | Claimant(s): Jonathan Feldman
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): optionsXpress.
Respondent Lawyers(s): Stephen J. Senderowitz
Arbitrator(s): James A. Hayes, Joseph J. Dougherty, John Nelson Greer
Hearing Site: Baltimore, MD
| | $1,558,000 |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
| | $550,000 |
| 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 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 15-00589 | 01/27/2016 | Claimant(s): Catherine Boland, Richard Graves
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): James A. Hayes, Christopher M. McMurray
Hearing Site: Baltimore, MD
| | Expungement |
| 14-01597 | 10/19/2015 | Claimant(s): Sharon Krieger
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Michael Fein, Commonwealth Financial Network
Respondent Lawyers(s): James A. Johnson
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | Expungement |
| 11-01017 | 06/25/2012 | Claimant(s): 4R Partnership, by Jon Roberts, Partner, C. Marvin Trust, Trustee
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): David Schrager, Woodstock Financial Group.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): James E. Michaels, James A. Hayes, Ken L. Andersen
Hearing Site: Omaha, NE
| | $75,000 |
| 10-05785 | 09/29/2011 | Claimant(s): Orval Beckmon
Claimant Lawyers(s): Barry D. Estell
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Hayes, Wilburta Ann Willey, John James Rubin
Hearing Site: Wichita, KS
| | $0 |
| 09-05301 | 08/05/2011 | Claimant(s): Darlene Hill, Darlene B. Hill, Trustee of the
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Wachovia Securities, Thomas Gresham
Respondent Lawyers(s): Patrick J. Whalen
Arbitrator(s): Charles H. Lewis, James A. Hayes, Michelle S. Minor
Hearing Site: Kansas City, MO
| | $260,000 |
