20-02438 | 07/01/2021 | Claimant(s): Michael Higgins Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Scott & Stringfellow Respondent Lawyers(s): Christina M. Hill Arbitrator(s): Joseph J. Dougherty Hearing Site: Richmond, VA
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20-02921 | 06/04/2021 | Claimant(s): Robert Schinsky Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Joseph J. Dougherty Hearing Site: Richmond, VA
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19-03577 | 12/15/2020 | Claimant(s): Lana Salerno, Robert Kelly Claimant Lawyers(s): Nicholas J. Guiliano Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
| | Settlement |
20-00017 | 10/29/2020 | Claimant(s): Chantal Pitaud Claimant Lawyers(s): Chantal Pitaud Respondent(s): TD Ameritrade. Respondent Lawyers(s): Amanda Wright Arbitrator(s): Jim Geiger, Joseph J. Dougherty, Geoffrey A. Drucker Hearing Site: Richmond, VA
| | $0 |
20-00791 | 10/05/2020 | Claimant(s): Steven Jablonski Claimant Lawyers(s): Brian Luther Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
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18-04212 | 03/23/2020 | Claimant(s): Harlis Bolling Claimant Lawyers(s): Harlis Terry Bolling Respondent(s): Daniel Zimmerman, Morgan Stanley Respondent Lawyers(s): Chan Nam Arbitrator(s): Joseph J. Dougherty Hearing Site: Wilmington, DE
| | $225 |
18-03249 | 11/25/2019 | Claimant(s): Brian Toon, Joseph Sperber, Phyllis Schreiner, Ronda Montgomery Claimant Lawyers(s): Joseph J. Sperber Respondent(s): TD Ameritrade., E*Trade Securities LLC Respondent Lawyers(s): James J. Vihstadt, Meredith Hoffman Arbitrator(s): Ellen F. Kandell, Joseph J. Dougherty, Gerald S. Smith Hearing Site: Baltimore, MD
| | $0 |
18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger Claimant Lawyers(s): James L Kauffman Respondent(s): Cambridge Investment Research., Equity Concepts Respondent Lawyers(s): Todd Ratner Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg Hearing Site: Richmond, VA
| | $0 |
17-01393 | 05/29/2019 | Claimant(s): Jonathan Feldman Claimant Lawyers(s): Gregory T. Lawrence Respondent(s): optionsXpress. Respondent Lawyers(s): Stephen J. Senderowitz Arbitrator(s): James A. Hayes, Joseph J. Dougherty, John Nelson Greer Hearing Site: Baltimore, MD
| | $1,558,000 |
17-02673 | 01/29/2019 | Claimant(s): Estate of Henrietta H. Forcanser Claimant Lawyers(s): John P. Dell'Italia Respondent(s): Morgan Stanley, Philip Yellovich Respondent Lawyers(s): Chan H. Nam Arbitrator(s): Joseph J. Dougherty, Robert C. Scanlan, Laura A. Kaster Hearing Site: Philadelphia, PA
| | $0 |