| 18-00121 | 04/02/2019 | Claimant(s): Mirchandani-Xu FLT
Claimant Lawyers(s): Michael Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): John J. Fitzpatrick, Jon H. Sylvester, Adrian Alec Colley
Hearing Site: San Francisco, CA
|  | $0 |
| 17-02477 | 08/31/2018 | Claimant(s): Christopher Wynne, David Austin, Lisa Schiffer, Niraj Bhandari
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Securities America.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): James R. McGuone, Gary P. Alexander, Jay A Kaplan
Hearing Site: Atlanta, GA
| | |
| 17-01547 | 05/24/2018 | Claimant(s): Peter Lawrence, The Norma S. Pappas Trust U/A 7/12/1993
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Bao Vu, TD Ameritrade., Steve Kim
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Helen Marinak Blohm, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
| 10-03244 | 07/16/2015 | Claimant(s): Michael Hirsch, Robyn Hirsch, Hirsch, LLP
Claimant Lawyers(s): Mark D. Schwartz
Respondent(s): Securities America., Marc Scudillo
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Elliot B. Platt, Edward Blumstein, Glenn J. Hansen
Hearing Site: Philadelphia, PA
| | $552,693 |
| 09-06706 | 04/05/2012 | Claimant(s): Monica Boniadi, Robert Boniadi
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | Expungement |
| 10-00012 | 12/31/2010 | Claimant(s): Josephine Wayman
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Securities America., Randall Talbott
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward
Arbitrator(s): Joseph C. Watson, Joel D. Davidman, W. Alex King
Hearing Site: Los Angeles, CA
| | $1,155,470 |
| 08-02457 | 03/09/2010 | Claimant(s): Estate of Juan Roberto Brittingham-McLea
Claimant Lawyers(s): Lance H. "Luke" Beshara
Respondent(s): Gerardo Chapa, Ricardo Perusquia, Robert Benjamin, Global Financial Services, L.L.C.
Respondent Lawyers(s): Adam P. Schiffer, Bruce M. Bettigole
Arbitrator(s): Martha Failing, Charles E. Martin, William R. Jonson
Hearing Site: Houston, TX
| | $370,000 |
