| 20-01655 | 05/22/2023 | Claimant(s): Matthew Mooney, Williams Trading LLC
Claimant Lawyers(s): Dale G. Mullen, Matthew Brian Mooney
Respondent(s): Tourmaline Partners
Respondent Lawyers(s): Julia M. Jordan
Arbitrator(s): William James Pantele, Arthur B. O'Connell, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
| | |
| 20-03366 | 03/03/2022 | Claimant(s): Jayne Di Vincenzo
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Devin Garofalo
Respondent Lawyers(s): W.R. Baldwin
Arbitrator(s): Janice L. Burnham, JoAnne Lewis Nolte, Michael Andrew Glasser
Hearing Site: Norfolk, VA
| | |
| 19-03711 | 08/17/2020 | Claimant(s): Carolyn DiPrinzio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): JoAnne Lewis Nolte
Hearing Site: Richmond, VA
| | |
| 19-01565 | 04/27/2020 | Claimant(s): Arnaldo Garcia and Sylvia Martinez, Daniel, Eduardo and Barbara Martinez, Eduardo Martinez and Barbara Martinez
Claimant Lawyers(s): Osvaldo Carlo
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): JoAnne Lewis Nolte, Joseph Neal Richardson, Marc H. Baer
Hearing Site: San Juan, PR
|  | Dismissed by Rule 12206/12504 |
| 12-02802 | 07/28/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John McLean
Respondent Lawyers(s): John A. McLean
Arbitrator(s): Clarence Jordan Ball, Donita M. King, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
| | |
| 10-04782 | 05/08/2012 | Claimant(s): Roger Loria, Winifred Loria, Dr. Roger Loria IRA, Mrs. Winifred Loria IRA, Immunitas. Retirement Plan
Claimant Lawyers(s): Anne W. Larkin
Respondent(s): Arnold Dorman, Elmer Bullis, Next Financial Group.
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Donald B. Vaden, JoAnne Lewis Nolte, Margaret Verdery Little
Hearing Site: Richmond, VA
| | $225,000 |
