| 23-02847 | 07/12/2024 | Claimant(s): Thomas Pusser
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Richard P. Regan
Hearing Site: Richmond, VA
| | |
| 22-00634 | 03/30/2023 | Claimant(s): Flaubert Mbongo
Claimant Lawyers(s): Flaubert Mbongo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Richard P. Regan, Yvette C. Hatfield, Raymond Winston Suarez
Hearing Site: Washington, DC
|  | $0 |
| 21-01933 | 03/16/2022 | Claimant(s): Aubrey Rosser III
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
| | |
| 21-01154 | 12/09/2021 | Claimant(s): Michael Bolen
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard P. Regan, Ezio Borchini, Christopher M. McMurray
Hearing Site: Washington, DC
| | |
| 20-03627 | 11/16/2021 | Claimant(s): David Bolls
Claimant Lawyers(s): Jonathan Bolls
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Richard P. Regan, Francis Henry Dong, Richard J Thomas
Hearing Site: Washington, DC
| | $0 |
| 20-03049 | 03/29/2021 | Claimant(s): John Cortale
Claimant Lawyers(s): Matthew R. Kaufmann
Respondent(s): JHS Capital Advisors
Respondent Lawyers(s): John Kelliher
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
| | |
| 20-01216 | 09/28/2020 | Claimant(s): William McAndrew
Claimant Lawyers(s): William H. McAndrew
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
| | $213 |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
| | $891,856 |
| 08-03335 | 10/05/2010 | Claimant(s): Don Colcolough, Don Paul Colcolough and Anna Colcolough
Claimant Lawyers(s): Brian J. Neville
Respondent(s): John Colcolough, UBS Financial Services Inc., Stephens.
Respondent Lawyers(s): Kim Fowler, Patricia Christinasen
Arbitrator(s): Wendie L. Wachtel, Richard P. Regan, Jane C. Carney
Hearing Site: Washington, DC
| | $0 |
| 09-05684 | 04/29/2010 | Claimant(s): Laurens Hoppenbrouwer
Claimant Lawyers(s): Laurens M. Hoppenbrouwer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
| | $1,163 |
