| 11-01969 | 06/14/2012 | Claimant(s): Susan Mohseni
Claimant Lawyers(s): Younes Mohseni
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
|  | $0 |
| 11-03941 | 05/02/2012 | Claimant(s): Neema Nourian
Claimant Lawyers(s): Neema Nourian
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | $163 |
| 11-00807 | 02/15/2012 | Claimant(s): Kwame Boateng
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Danielle Schmidt, Kevin Martin, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Kevin R. McDermott
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
| 11-00018 | 09/20/2011 | Claimant(s): Jan Harris-Kimball, Jan E. Harris-Kimball ROTH IRA, Jan E. Harris-Kimball, IRA
Claimant Lawyers(s): Jan E. Harris-Kimball
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $213 |
| 10-05433 | 07/12/2011 | Claimant(s): Adrian Suazo, Adriana Suazo
Claimant Lawyers(s): Adriana E. Suazo
Respondent(s): TD Ameritrade., Scottrade Inc.
Respondent Lawyers(s): Hollie M. Mason, Niels P. Murphy
Arbitrator(s): Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
| 10-04053 | 06/06/2011 | Claimant(s): Chanht Reatrey KEO
Claimant Lawyers(s): Chanht Reatrey Keo
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Thomas J. LoSavio
Hearing Site: San Francisco, CA
| | $0 |
| 10-01287 | 11/09/2010 | Claimant(s): Wesley Olson
Claimant Lawyers(s): Jeffrey S. Salisbury
Respondent(s): Joe Lee, Scottrade Inc.
Respondent Lawyers(s): Alexander T. Moore, Niels P. Murphy
Arbitrator(s): Justine Fischer
Hearing Site: Portland, OR
| | $213 |
| 10-01719 | 11/09/2010 | Claimant(s): Eric Schiff
Claimant Lawyers(s): Eric Howard Schiff
Respondent(s): Anthony Sarracino, Anthony Viviano, Randle Copeland, Rodger Riney, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $163 |
| 08-01254 | 02/26/2009 | Claimant(s): Andrew Hoh
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Donald L. Horowitz
Hearing Site: Raleigh, NC
| | $92,263 |
| 07-03476 | 12/05/2008 | Claimant(s): Virginia McGaughran, Omega Psychology Center.
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Steven N. Ainbinder, Michael T. Williams, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
