| 13-00303 | 06/20/2016 | Claimant(s): Jerzy Mendelka, JM Property SP Z.O.O. SP K, NDV Investment Company
Claimant Lawyers(s): Jerzy Mendelka
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Virginia C. Palitz
Arbitrator(s): William G. Binckes, Camille S. Cooper, Benjamin D. Krause
Hearing Site: New York, NY
|  | $0 |
| 11-02883 | 09/16/2014 | Claimant(s): Sarah Yarmak
Claimant Lawyers(s): Jeffrey Yarmak
Respondent(s): Neville Golvala, Ronald Buckner, Choicetrade, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet, Patrick Gaffney
Arbitrator(s): Alida D. Camp, Robert Bartels, Paul S. Biederman
Hearing Site: New York, NY
| | $0 |
| 12-01719 | 03/04/2013 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Mark Cuccaro
Respondent(s): Gerald Gregor
Respondent Lawyers(s): Gerald J. Gregor
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | $0 |
| 11-01658 | 01/10/2013 | Claimant(s): D7 Trading, Kingdom Legacy Fund
Claimant Lawyers(s): Tucker Harrison Byrd
Respondent(s): Penson Financial Services., TD Ameritrade Holding Corporation, Thinkorswim. n/k/a Bellevue Chicago
Respondent Lawyers(s): Joseph A. Matteo
Arbitrator(s): George K. Beardsley, Donald K. Runkle, Charles W. Lavender
Hearing Site: Tampa, FL
| | $0 |
| 10-04705 | 06/29/2012 | Claimant(s): Samar Ghadry
Claimant Lawyers(s): Stephen W Nichols
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Jeremy D. Schildcrout
Arbitrator(s): Walter Peterson, Jerome Nelson, Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
| 11-01825 | 05/25/2012 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ian Kass, Delaney Equity Group Llc, Penson Financial Services.
Respondent Lawyers(s): David R. Chase, Mark Cuccaro
Arbitrator(s): Harvey Alan Blicksilver, Philip L. Manczak, Stefano Ferruggia
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-02630 | 03/22/2012 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): Kimberly Herkert and John Herkert, Jr.
Respondent Lawyers(s): Kimberly Herkert
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
| | $0 |
| 10-05036 | 10/21/2011 | Claimant(s): Douglas Leach
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Gary Purcell, Marco Alfonsi, Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 10-02351 | 10/13/2011 | Claimant(s): Robert Sudduth, The Robert Sudduth Family Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Frederick H. Bruce, Leon T. Roberts, Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | $0 |
| 10-04788 | 09/09/2011 | Claimant(s): Pavillion Trading LLC
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Kupfer, Penson Financial Services., Transcend Capital LLC
Respondent Lawyers(s): Ben Broocks, Lee Polson, Tim Davis
Arbitrator(s): Michael G. Hanlon
Hearing Site: Boise, ID
| | Expungement |
