| 19-00555 | 02/20/2024 | Claimant(s): Janice Kevari
Claimant Lawyers(s): Maryann P Gallagher
Respondent(s): Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Janice L. Sperow, Kevin K. Forrester, Lisa Miller
Hearing Site: San Diego, CA
| | |
| 18-01226 | 09/16/2022 | Claimant(s): Hisako Patten
Claimant Lawyers(s): Hisako Patten
Respondent(s): Craig Dock, Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Randy R. Maher, Cynthia Cashman Makin, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
|  | Expungement |
| 18-00351 | 01/23/2020 | Claimant(s): Samuel Adams
Claimant Lawyers(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ashley Kutz Kelly
Arbitrator(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
| | |
| 18-00822 | 11/26/2019 | Claimant(s): Barbara DeMary, Joseph Ehritz, Lee DeMary, Leo Mazotas, Marianne Ehritz, Michael Simmons, Sid Haffener
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co.., Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): Gregory M. Scanlon, James J. Vihstadt
Arbitrator(s): Sidney J. Wartel, Denise Morris Hammond, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
| | $0 |
| 18-02805 | 11/11/2019 | Claimant(s): The Leonard and Gen Winton Trust
Claimant Lawyers(s): Robert G. Knaier
Respondent(s): Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): James D. Knotter, Chad Anthony Franks, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
| 19-01033 | 10/30/2019 | Claimant(s): Patrick Borecky
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): Allan R. Lazor
Hearing Site: Little Rock, AR
| | |
| 18-01519 | 05/20/2019 | Claimant(s): Robert Brangle
Claimant Lawyers(s): Joan M. Swartz
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Anna M. Berman
Arbitrator(s): Leah Murray Albert, Tracy L. Allen, Julius Z. Frager
Hearing Site: St. Louis, MO
| | |
| 17-01265 | 03/15/2019 | Claimant(s): Brad Ormsby
Claimant Lawyers(s): Tracy P. Stoneman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Philip J. Mackey
Arbitrator(s): Richard N. Friedman, Alan Bert Nishimura, Judy Man-Ling Lam
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01982 | 01/25/2019 | Claimant(s): Chia Chen Chen
Claimant Lawyers(s): Danning Jiang
Respondent(s): Daniel Gong, Scottrade Inc.
Respondent Lawyers(s): Ilana H. Reid
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | $1,000 |
| 17-02169 | 08/24/2018 | Claimant(s): Dan Yarbrough
Claimant Lawyers(s): Everett W. Bennett
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Theodore Haynes
Hearing Site: Columbia, SC
| | $0 |
