Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02425 | 01/26/2024 | Claimant(s): Kayla Nguyen Claimant Lawyers(s): Kayla Nguyen Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Lawrence R. Maxwell Hearing Site: Dallas, TX |  | $0 |
| 22-01142 | 12/14/2023 | Claimant(s): Efraim Diveroli Claimant Lawyers(s): Jerome Ramsaran Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Steven Gerard Goerke, Robert Lawrence Ostrov, Kathryn L McHale Hearing Site: Boca Raton, FL | | Expungement |
| 22-01925 | 12/12/2023 | Claimant(s): Christopher Berthold Claimant Lawyers(s): Christopher Berthold Respondent(s): TD Ameritrade. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Arocles Aguilar Hearing Site: Seattle, WA | | Dismissed by Rule 12212 and 12511 |
| 23-00447 | 09/01/2023 | Claimant(s): Margaret Burnes Claimant Lawyers(s): Margaret Burnes Respondent(s): Gerald Markwith, Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL | | Expungement |
| 22-02054 | 04/06/2023 | Claimant(s): John Redhead Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Maurice M. Feller, Howard B. Scherer, Karl A. Vogeler Hearing Site: Tampa, FL | ||
| 22-01857 | 01/23/2023 | Claimant(s): Kareem Foreman Claimant Lawyers(s): Kareem Foreman Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Mark C. Perry Hearing Site: Boca Raton, FL | | $0 |
| 21-02551 | 08/15/2022 | Claimant(s): Joseph Dixon Claimant Lawyers(s): Joseph O. Dixon Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Barry Goldman, Phyllis Karasov, Allan Witz Hearing Site: Minneapolis, MN | | Dismissed by Rule 12504 |
| 21-03029 | 04/19/2022 | Claimant(s): Egidio Mogavero Claimant Lawyers(s): Egidio Gil Mogavero Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): David J. Romanski Hearing Site: San Francisco, CA | | $0 |
| 20-03097 | 06/14/2021 | Claimant(s): Michael Calvin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX | ||
| 20-03082 | 04/07/2021 | Claimant(s): Jason Hudson Claimant Lawyers(s): Joelle A. Simms Respondent(s): Edward Jones Respondent Lawyers(s): Bentley P. Stansbury Arbitrator(s): Jeffrey R. Jury Hearing Site: Oklahoma City, OK |