Potomac Analytics' Logo

FINRA Awards for TD Ameritrade Clearing.

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 21-30 out of 32 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0059806/07/2016Claimant(s): Richard Forde, RGA Forde, Godwin Fund Partners, L.P.
Claimant Lawyers(s): Brian J. Brislen
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): John A. Baynes, Frank Samuel Perri, Celeste A. Beron
Hearing Site: Charlotte, NC
Checkmark Icon$1,050,750
14-0194210/21/2015Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Tom L. Peterson, Arnold M. Marrow, Susan Lauder Stewart
Hearing Site: Boston, MA
Checkmark Icon$0
14-0384606/05/2015Claimant(s): Charlton Coroni
Claimant Lawyers(s): Charlton Coroni
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
Checkmark Icon$425
14-0293704/02/2015Claimant(s): Refael Shaoulian
Claimant Lawyers(s): Rafael Shaoulian
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
Checkmark Icon$0
13-0372610/09/2014Claimant(s): Kenneth Brown
Claimant Lawyers(s): Kenneth William Brown
Respondent(s): TD Ameritrade Clearing., John Ricketts
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): G. Robert Abrams, Steven Gerard Goerke, Daniel Joseph Chiodo
Hearing Site: Boca Raton, FL
12-0032806/25/2014Claimant(s): Ronald Small
Claimant Lawyers(s): Ronald Small
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Joseph A. Matteo
Arbitrator(s): Richard A. Purkiss, Edward F. Koren, Timothy Towles Stevens
Hearing Site: Philadelphia, PA
Checkmark Icon$0
13-0244604/02/2014Claimant(s): Jan Harris
Claimant Lawyers(s): Jan E. Harris
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Michael J. Fish
Hearing Site: Honolulu, HI
Checkmark Icon$25
10-0228301/11/2012Claimant(s): Scott Stith
Claimant Lawyers(s): Liane Janovsky
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
10-0578509/29/2011Claimant(s): Orval Beckmon
Claimant Lawyers(s): Barry D. Estell
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Hayes, Wilburta Ann Willey, John James Rubin
Hearing Site: Wichita, KS
Checkmark Icon$0
10-0388306/15/2011Claimant(s): Alan Klein, Ttee for Alan J Klein Trust
Claimant Lawyers(s): Alan Klein
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Elliot Leitner
Hearing Site: Chicago, IL
Checkmark Icon$0

32 Results

Display: