| 22-01788 | 03/03/2023 | Claimant(s): Loizos Kapnisi
Claimant Lawyers(s): James P. Galvin
Respondent(s): TIAA-CREF Individual & Institutional Svc
Respondent Lawyers(s): Julie Calderon Rizzo
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
| | |
| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
|  | Expungement |
| 21-00625 | 09/16/2022 | Claimant(s): Jaivin Karnani
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Futu Inc
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Arthur B. O'Connell, Carl F. Bowmer, Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | $0 |
| 22-00208 | 08/30/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kristina J. Branstetter
Respondent(s): Jacob Turner
Respondent Lawyers(s): Jacob Troy Turner
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | |
| 21-02815 | 07/06/2022 | Claimant(s): Monique Sessler
Claimant Lawyers(s): Meghan McElligott
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
| | Expungement |
| 21-01771 | 03/15/2022 | Claimant(s): Glenn Fischer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Etherington
Hearing Site: Richmond, VA
| | |
| 21-01939 | 03/02/2022 | Claimant(s): James Ramsey
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Prudential Equity Group, Morgan Stanley DW Inc.
Respondent Lawyers(s): Gina Shlaferman, Jennifer E. Novoselsky
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Richmond, VA
| | |
| 21-00516 | 08/12/2021 | Claimant(s): Jennifer Duncan
Claimant Lawyers(s): Ann Sullivan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
| | |
| 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
| | |
| 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
| | |
