| 16-03418 | 03/10/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jeffrey Ickes
Respondent Lawyers(s): Jeffrey Scott Ickes
Arbitrator(s): Jim Geiger
Hearing Site: Wilmington, DE
| | |
| 15-01680 | 02/08/2016 | Claimant(s): Mark Hennings
Claimant Lawyers(s): Stephanie Habelow
Respondent(s): Kevin Murphy, Next Financial Group., Visionary Asset Management.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Julian F. Santos
Hearing Site: Wilmington, DE
|  | $300 |
| 14-01159 | 10/22/2015 | Claimant(s): Roberta Heid
Claimant Lawyers(s): Matthew R. Skolnik
Respondent(s): Jeremy Lambert, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Marian Smith Glenn, Nickolas F. Monteforte, Jan Elaine Christopher
Hearing Site: Wilmington, DE
| | Expungement |
| 14-00873 | 12/30/2014 | Claimant(s): Christopher Rausch
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): David Paul Clark
Hearing Site: Wilmington, DE
| | $0 |
| 14-00473 | 09/10/2014 | Claimant(s): Marshall Peters
Claimant Lawyers(s): Marshall Peters
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Alan J. Blocher
Hearing Site: Wilmington, DE
| | $300 |
| 13-03471 | 06/25/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Thomas Ambrose
Respondent Lawyers(s): Thomas Kevin Ambrose
Arbitrator(s): David Paul Clark
Hearing Site: Wilmington, DE
| | |
| 12-03075 | 01/07/2014 | Claimant(s): Lachman Dass Gupta and Manjula Gupta
Claimant Lawyers(s): Lachhman Dass Gupta
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Gordon M. Wase, Wilbert H. Luck, Glenn J. Hansen
Hearing Site: Wilmington, DE
| | $0 |
| 13-02195 | 12/09/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Nicholas Perugino
Respondent Lawyers(s): Nicholas L. Perugino
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | |
| 13-00015 | 09/10/2013 | Claimant(s): Carl Haas, Nancy Haas
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | $2,830 |
| 12-03830 | 07/26/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Rudi Buetterich
Respondent Lawyers(s): Rudi Orlando Buetterich
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Wilmington, DE
| | |
