| 21-00625 | 09/16/2022 | Claimant(s): Jaivin Karnani
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Futu Inc
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Arthur B. O'Connell, Carl F. Bowmer, Gregory Hunter Mathews
Hearing Site: Richmond, VA
|  | $0 |
| 22-00127 | 07/06/2022 | Claimant(s): Dilusso Properties Corp.
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Maria Elena Martinez
Arbitrator(s): Marie G. Peterson, Carl F. Bowmer, Nancy Wiegers Greenwald
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 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 |
| 18-01699 | 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 |
| 17-00763 | 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 |
| 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 |
| 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 |
| 14-00432 | 09/12/2014 | Claimant(s): James Joyner
Claimant Lawyers(s): James B. Joyner
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 13-00019 | 07/16/2014 | Claimant(s): Michael Fertich
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, John D. Robb, Carl F. Bowmer
Hearing Site: Richmond, VA
| | Dismissed by Rule 12206 |
