| 12-02002 | 04/23/2015 | Claimant(s): Grace Financial Group LLC
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Apex Clearing Corporation, Penson Financial Services.
Respondent Lawyers(s): John P. Bevilacqua, Mark G. Hanchet
Arbitrator(s): W. Jeffrey Weinlandt, Renee La Verne Ross CFP, Richard Bryce Nesson
Hearing Site: New York, NY
| | |
| 11-02883 | 09/16/2014 | Claimant(s): Sarah Yarmak
Claimant Lawyers(s): Jeffrey Yarmak
Respondent(s): Neville Golvala, Ronald Buckner, Choicetrade, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet, Patrick Gaffney
Arbitrator(s): Alida D. Camp, Robert Bartels, Paul S. Biederman
Hearing Site: New York, NY
|  | $0 |
| 10-02351 | 10/13/2011 | Claimant(s): Robert Sudduth, The Robert Sudduth Family Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Frederick H. Bruce, Leon T. Roberts, Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | $0 |
| 09-04093 | 03/08/2011 | Claimant(s): Emmett Carter
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): James Holdman, Penson Financial Services.
Respondent Lawyers(s): MacAllynn J. Achee, Mark G. Hanchet
Arbitrator(s): Daniel Eugene Bivins, Frederick S. Duncan, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $869,170 |
| 09-00266 | 06/25/2010 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Phil Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Henry Hermann, Richard A Miller, Darrell G. Compton
Hearing Site: Dallas, TX
| | |
| 08-02357 | 08/07/2009 | Claimant(s): ABS Brokerage Services, Iseroute, Llc, Pro Securities, L.L.C.
Claimant Lawyers(s): Carl M. Greenfeld
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Donald J. Rasweiler, Arthur P. Fisch, Douglas F. Stone
Hearing Site: New York, NY
| | |
