| 23-02595 | 02/14/2024 | Claimant(s): NAMCOA - Naples Asset Management Co
Claimant Lawyers(s): Paul J McIntyre
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | |
| 22-00677 | 11/10/2023 | Claimant(s): Robert Hamilton, Robert J. Hamilton IRA
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Louis J. Weber, Karen Roberts Washington, Joseph A. Vicario
Hearing Site: Dallas, TX
|  | $0 |
| 23-01258 | 10/30/2023 | Claimant(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
| | $0 |
| 23-01276 | 10/26/2023 | Claimant(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
| | $0 |
| 21-02462 | 10/17/2022 | Claimant(s): John Griffin
Claimant Lawyers(s): John C. Griffin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
| | $0 |
| 21-02073 | 08/18/2022 | Claimant(s): Dennis Pickett
Claimant Lawyers(s): Dennis W. Pickett
Respondent(s): TD Ameritrade., Citadel Securities LLC
Respondent Lawyers(s): Kevin H. Lewis, Mark L. Parmelee
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Louisville, KY
| | $0 |
| 20-02414 | 06/23/2022 | Claimant(s): Kenneth L. Covell
Claimant Lawyers(s): Kenneth L. Covell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $79,550 |
| 19-01455 | 04/06/2022 | Claimant(s): James Novak
Claimant Lawyers(s): Terry J. Kirwan
Respondent(s): Charles Schwab & Co.., Herbert Reilly, HFR Investment Advisory Services
Respondent Lawyers(s): David G. Burch, Kevin H. Lewis
Arbitrator(s): Patrick M. Markey, Denise L. Presley, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 21-01076 | 02/04/2022 | Claimant(s): Farid Ghafelpour
Claimant Lawyers(s): Farid Ghafelpour
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barbara M. Zak, W. Alex King, Xochitl Arteaga
Hearing Site: Los Angeles, CA
| | $0 |
| 21-00620 | 11/03/2021 | Claimant(s): Kristen Graham
Claimant Lawyers(s): Norman W. Graham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
| | $0 |
