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FINRA Awards for TD Ameritrade.

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Displaying 21-30 out of 419 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0183811/20/2023Claimant(s): Harvey Silver, The Estate of Gladys Silver
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC, TD Ameritrade.
Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren
Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi
Hearing Site: New York, NY
Checkmark Icon$440
23-0125810/30/2023Claimant(s): Lois Graves, W. Graves
Claimant Lawyers(s): W. Joseph Graves
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan L. Walker
Hearing Site: Indianapolis, IN
Checkmark Icon$0
23-0172510/27/2023Claimant(s): Spencer Hyde
Claimant Lawyers(s): Spencer Roderick Hyde
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
Checkmark Icon$435
21-0020210/26/2023Claimant(s): Salah Uddin
Claimant Lawyers(s): Salah Uddin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Harris L. Kay
Arbitrator(s): Michael C. Anigbogu, Shawn Ridgell, Gary Kostow
Hearing Site: San Francisco, CA
Checkmark Icon$0
23-0127610/26/2023Claimant(s): Robert Coyne
Claimant Lawyers(s): Robert Coyne
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
Checkmark Icon$0
23-0174910/25/2023Claimant(s): Dennis Delmastro
Claimant Lawyers(s): Dennis Delmastro
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John W. Eichleay
Hearing Site: Pittsburgh, PA
Checkmark Icon$3,665
23-0032509/22/2023Claimant(s): Alexander Soifer
Claimant Lawyers(s): Alexander Nation Soifer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kirtley M. Thiesmeyer, Thomas James Norman, Robert D. Coviello
Hearing Site: Los Angeles, CA
Checkmark Icon$17,300
21-0180008/24/2023Claimant(s): Rudolph Baker
Claimant Lawyers(s): Rudolph Baker
Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher, John Bersin
Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli
Hearing Site: Los Angeles, CA
Checkmark Icon$0
22-0275608/14/2023Claimant(s): Alan Fong
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
Checkmark Icon$0
18-0291708/11/2023Claimant(s): Bill Nguyen
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): TD Ameritrade., Nguyen Capital Partners
Respondent Lawyers(s): Neil S. Baritz, W. Andrew Clayton
Arbitrator(s): Langfred W. White, Darryl C. Wilson, Gayle B. Carlson
Hearing Site: Tampa, FL
Checkmark Icon$1,207,550

419 Results

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