| 17-02795 | 02/14/2019 | Claimant(s): Carol Brink
Claimant Lawyers(s): Lydia M. Floyd
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Sal Presti, Debra Granat Grudichak, Mark W Solock
Hearing Site: Chicago, IL
|  | Expungement |
| 18-01014 | 08/06/2018 | Claimant(s): Elizabeth Kohlstaedt, Elizabeth V. Kohlstaed IRA
Claimant Lawyers(s): Scott Peterson
Respondent(s): Keith Duncan, Investacorp.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
| | $0 |
| 17-01151 | 04/10/2018 | Claimant(s): Thomas Hall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | |
| 16-03478 | 08/10/2017 | Claimant(s): Andrew Schade
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Securities America.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): D. Michael Kratchman, Kenneth J. Safran, Erane C. Washington-Kendrick
Hearing Site: Detroit, MI
| | |
| 14-02264 | 11/12/2015 | Claimant(s): JSF Inv L.P.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): John P. Wilson, George King, Vivian L. Kral
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 14-02200 | 03/12/2015 | Claimant(s): Douglas Haviland
Claimant Lawyers(s): Douglas Allan Haviland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $665 |
| 13-03027 | 06/17/2014 | Claimant(s): Albert Hoeflich, Edward Hoeflich, Eric Hoeflich, REB I
Claimant Lawyers(s): Daniel A. Bakondi, Robert L. Gonser
Respondent(s): Joral Schmalle, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Susan Sangillo Bellifemine, Sam Antar, Sirena Terr
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206 |
| 13-02914 | 05/23/2014 | Claimant(s): John Van Ingen
Claimant Lawyers(s): John Van Ingen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $25 |
| 13-02446 | 04/02/2014 | Claimant(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
| | $25 |
| 10-00378 | 12/14/2012 | Claimant(s): Thomas Campbell
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Timothy J. Currier, Mark Scarr, James George Timpa
Hearing Site: Detroit, MI
| | |
