| 18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
|  | $0 |
| 18-01147 | 10/10/2019 | Claimant(s): Virginia Transfomer., Prabhat Jain, Santosh Jain
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Elliot B. Platt, Donita M. King, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-04431 | 09/30/2019 | Claimant(s): Jaret Mutter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Josef Rosen
Arbitrator(s): Edward Blumstein
Hearing Site: Richmond, VA
| | |
| 18-03329 | 03/19/2019 | Claimant(s): Edelman Financial Services
Claimant Lawyers(s): Connie Bertram
Respondent(s): Cary Street Partners Investment Advisory, Raymond James Reibel II
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane C. Carney, Jonathan Edward Levine, Karl Dean Larson
Hearing Site: Richmond, VA
| | |
| 18-03384 | 03/14/2019 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Claire E. Meharg
Respondent(s): Franklin Hill
Respondent Lawyers(s): Franklin Hill
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
| | |
| 18-00845 | 01/11/2019 | Claimant(s): Heather Evans
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
| | |
| 17-01209 | 12/05/2018 | Claimant(s): Waylon Jackson
Claimant Lawyers(s): Andrew G. Mauck
Respondent(s): Louis Frates
Respondent Lawyers(s): J. Bryan Plumlee
Arbitrator(s): Michael J. Henke, Joseph J. Dougherty, Tony J Lawrence
Hearing Site: Richmond, VA
| | |
| 18-01499 | 11/19/2018 | Claimant(s): John Karaffa
Claimant Lawyers(s): John Karaffa
Respondent(s): Capital Guardian
Respondent Lawyers(s): Sandro L. Ramos
Arbitrator(s): Donald B. Vaden
Hearing Site: Richmond, VA
| | |
| 18-01026 | 11/12/2018 | Claimant(s): Thomas Love
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | |
| 17-00150 | 11/07/2018 | Claimant(s): Edith M. Wachsner Trust
Claimant Lawyers(s): Henry I. Willett
Respondent(s): Kent Engelke, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): James A. Hayes, Robert Charkovsky, Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | Expungement |
