| 11-02065 | 09/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): William E. Brown
Respondent(s): Dave Osborn, TD Ameritrade., Ken Sitnick, Watts Ha, RNC Center Capital Management
Respondent Lawyers(s): Compliance Officer, Dave Osborn, Hollie S. Mason
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
|  | $213 |
| 11-02535 | 08/27/2012 | Claimant(s): George W Hussey
Claimant Lawyers(s): David Young Parker
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Bill Swinford, Fred M. Ridolphi, Neil Harvey Smith
Hearing Site: Nashville, TN
| | $0 |
| 08-04033 | 07/25/2012 | Claimant(s): Iris Chin, Ken Chin
Claimant Lawyers(s): Ken K. Chin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): R. Matthew Ingraham
Arbitrator(s): Alan James Jacoby, Charles L. Prothero, Richard C. Antonelli
Hearing Site: Newark, NJ
| | $0 |
| 11-01425 | 06/07/2012 | Claimant(s): Estate of Richard Taggart, Taggart Estate Planning Trust
Claimant Lawyers(s): David Gaba
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Vawter, G. E. Craig Doupe, Joan Helen Lukasik
Hearing Site: Seattle, WA
| | $548,960 |
| 11-03322 | 06/01/2012 | Claimant(s): Shelley Branham
Claimant Lawyers(s): Shelley V. Branham
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Donald Milo Helton
Hearing Site: Nashville, TN
| | $0 |
| 11-04745 | 05/16/2012 | Claimant(s): Brian Rutherford
Claimant Lawyers(s): Brian J Rutherford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Providence, RI
| | $0 |
| 09-06772 | 05/08/2012 | Claimant(s): Susan Shalov
Claimant Lawyers(s): Robert Bertsch
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alan J. Duncan, R. Peter Faris, Brent J. Rosenbaum
Hearing Site: Las Vegas, NV
| | $0 |
| 11-03984 | 04/23/2012 | Claimant(s): Suzan S. Amara and Ayman S. Amara
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $5,576 |
| 11-01571 | 03/20/2012 | Claimant(s): Shari Weidenbaum, Walter Weidenbaum, Walter Weidenbaum IRA, Walter Weidenbaum Trust UA 4/25/02
Claimant Lawyers(s): Walter Wiedenbaum
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | $75 |
| 11-02896 | 02/24/2012 | Claimant(s): Daniel McCarthy
Claimant Lawyers(s): Dan McCarthy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
