| 23-01819 | 12/22/2023 | Claimant(s): Jessica Peabody
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
| | |
| 22-00491 | 12/04/2023 | Claimant(s): Doris Mctyre
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Amanda Scipione, Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas Michael Genovese, James Reiman, Floyd A Bednarz
Hearing Site: Chicago, IL
| | |
| 23-00715 | 08/16/2023 | Claimant(s): Hector Gongora
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Byron Crowe
Arbitrator(s): Anthony Marchese, Susan C Lushing, Evdokia Sofos
Hearing Site: New York, NY
| | |
| 21-02745 | 03/31/2023 | Claimant(s): Jonathon Merickel
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): E*Trade Securities LLC, Laura Catalano
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Lawrence W. Arness, Lynn Hirschfeld Brahin, Bernadett R DeLise
Hearing Site: Chicago, IL
| | |
| 16-00120 | 11/03/2016 | Claimant(s): Candice Hutton
Claimant Lawyers(s): Candice Joy Hutton
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): John S. Lutz, Charles G. Michaels, Suanne M. Parro
Hearing Site: Denver, CO
| | |
| 12-02024 | 06/24/2014 | Claimant(s): Richard Estes
Claimant Lawyers(s): David B. Helms
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Leah A. Murray, Gerald Cohen, Keith E. Mattern
Hearing Site: St. Louis, MO
|  | $231,900 |
| 12-01445 | 02/14/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wade Lawrence
Respondent Lawyers(s): Wade James Lawrence
Arbitrator(s): Mark L. Williams, Franklin Lewis Broyles, Joseph Anthony Girgenti
Hearing Site: Dallas, TX
| | |
| 10-05301 | 07/16/2012 | Claimant(s): William Leathers
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Richard Scherer, Edward Jones
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Robert J. Scafuri, John R. Main, James L. Karpen
Hearing Site: Detroit, MI
| | $0 |
| 09-05805 | 03/18/2011 | Claimant(s): Barbara Golds, Jack Golds IRA, Jack Golds, Roth IRA
Claimant Lawyers(s): David M. Foster
Respondent(s): LPL Financial LLC, David Steckler, Legent Clearing, Linsco/Private Ledger Corp
Respondent Lawyers(s): Christopher H. Tovar, David H. Jarvis, James E. Roach
Arbitrator(s): Larry C. Kreul, Jacqueline R. Fox, Michael George Kelly
Hearing Site: Detroit, MI
| | $175,000 |
