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
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20-04075 | 04/19/2023 | Claimant(s): Truist Investment Services. Claimant Lawyers(s): John E MacDonald Respondent(s): Michael Hudgins Respondent Lawyers(s): Henry I. Willett Arbitrator(s): Thomas P. Talbot, Overman Randolph Rollins, Paul Dimitri Georgiadis Hearing Site: Richmond, VA
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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
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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
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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
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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
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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
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