| 22-01744 | 11/12/2024 | Claimant(s): James Giannotti
Claimant Lawyers(s): Guy Chirico
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Arthur M. Schoenberger, Nancy Kramer, John Michael Bergin
Hearing Site: New York, NY
|  | $0 |
| 23-01792 | 10/18/2024 | Claimant(s): Willard Holgate, Willard G. Holdgate SEP IRA, Willard G. Holgate IRA
Claimant Lawyers(s): Samuel Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Elena Dilorio, Phyllis Ann Diamond, Temitope Oluyomi Popoola
Hearing Site: Houston, TX
| | $106,468 |
| 23-00656 | 09/27/2024 | Claimant(s): Bing Fong Ma, Carol Tam, Charles Karnavy, Christine Tai, Craig Hansen, Hao Fang, Ilaria Turner, John Pink, Julie Chou, Shui-Man Tong, Shun-Yee Perng, Sourav Dutt, Sun Su Qin Baker, Tin-Na Kan
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Adam Pollet
Arbitrator(s): Darryl J. Horowitt, Grace Sarkis Noubar Seferian, Colleen Honigsberg
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206(b) |
| 21-01883 | 08/27/2024 | Claimant(s): Brock E. Milstein Trustee FBO Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Carrie M. Stickel
Arbitrator(s): Robert M. Shwab, Robert H. Baker, Kevin Brodar
Hearing Site: Cleveland, OH
| | $0 |
| 23-01317 | 06/25/2024 | Claimant(s): Estate of Lynn A. Ryan
Claimant Lawyers(s): Mildred C. Ryan
Respondent(s): Derek Visslailli, TD Ameritrade.
Respondent Lawyers(s): Derek Visslailli, Frank J. Cuccio
Arbitrator(s): Robert Elliot Harrison, Roy Lukins Rowsell, John Michael Bergin
Hearing Site: New York, NY
| | $0 |
| 23-02784 | 05/29/2024 | Claimant(s): John Lyons, J. Lyons Fund Management.
Claimant Lawyers(s): Michael R. Karnuth
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 22-01491 | 05/24/2024 | Claimant(s): Gregory Martini
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Barbara Black, Mitchel Weiss, Bradley Reynolds
Hearing Site: Atlanta, GA
| | $0 |
| 23-03294 | 05/06/2024 | Claimant(s): Kenny Johnson
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Terry M Lloyd, Gary G. Sackett, James Wilmer Barlow
Hearing Site: Salt Lake City, UT
| | |
| 23-00552 | 04/03/2024 | Claimant(s): Matthew Jung
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Rosa Linda Guadarrama
Hearing Site: San Diego, CA
| | |
| 23-01381 | 03/12/2024 | Claimant(s): Bradley Kleinfelter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
