| 14-02046 | 12/17/2014 | Claimant(s): Kermit Zieg
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Donald B. Vaden
Hearing Site: Richmond, VA
|  | $213 |
| 14-01049 | 09/23/2014 | Claimant(s): Alfred Koeniger
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | $0 |
| 14-00432 | 09/12/2014 | Claimant(s): James Joyner
Claimant Lawyers(s): James B. Joyner
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 12-02802 | 07/28/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John McLean
Respondent Lawyers(s): John A. McLean
Arbitrator(s): Clarence Jordan Ball, Donita M. King, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
| | |
| 13-00019 | 07/16/2014 | Claimant(s): Michael Fertich
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, John D. Robb, Carl F. Bowmer
Hearing Site: Richmond, VA
| | Dismissed by Rule 12206 |
| 14-00957 | 06/25/2014 | Claimant(s): Edward D. Jones & Co., L.P.
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Danny Lugar
Respondent Lawyers(s): W. David Paxton
Arbitrator(s): Stuart H. Dunn, Arthur J. Salzberg, Ramon M. Brinkman
Hearing Site: Richmond, VA
| | |
| 13-00848 | 05/27/2014 | Claimant(s): Kenneth Cook, Kenneth Cook Irrevocable Insurance Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Anthony S. Paetro, Janice L. Burnham, Overman Randolph Rollins
Hearing Site: Richmond, VA
| | $600 |
| 13-02426 | 05/14/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Donna Tucker
Respondent Lawyers(s): James P. Cargill
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
| | |
| 12-03649 | 04/07/2014 | Claimant(s): Fred Hetzel
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Erinn Ford, James Ortlip, Mark McCloskey, Philip Pizelo, Shanon Ford, AOG Wealth Managment, Alpha Omega Group., Pacific West Securities.
Respondent Lawyers(s): Erinn J. Ford, Joseph Campo, Mark T. McCloskey, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): David Edward Upton, Carol A. Schuyler, William F. Etherington
Hearing Site: Richmond, VA
| | Expungement |
| 12-03672 | 02/18/2014 | Claimant(s): John Francesconi
Claimant Lawyers(s): John Francesconi
Respondent(s): Carl Lamberti
Respondent Lawyers(s): Carl Hunter Lamberti
Arbitrator(s): Anthony J. Frank, Janice L. Burnham, David Edward Upton
Hearing Site: Richmond, VA
| | $0 |
