| 18-01499 | 11/19/2018 | Claimant(s): John Karaffa
Claimant Lawyers(s): John Karaffa
Respondent(s): Capital Guardian
Respondent Lawyers(s): Sandro L. Ramos
Arbitrator(s): Donald B. Vaden
Hearing Site: Richmond, VA
| | |
| 15-01300 | 04/29/2016 | Claimant(s): Billy Hackworth, Joe Parker
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Robert D. Perrow
Arbitrator(s): Donald B. Vaden
Hearing Site: Richmond, VA
|  | $49,000 |
| 15-00588 | 08/12/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Demian J. Betz
Respondent(s): Brian Peters
Respondent Lawyers(s): Brian David Peters
Arbitrator(s): Donald B. Vaden
Hearing Site: Charlotte, NC
| | |
| 14-02046 | 12/17/2014 | Claimant(s): Kermit Zieg
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Donald B. Vaden
Hearing Site: Richmond, VA
| | $213 |
| 13-00561 | 05/21/2014 | Claimant(s): Hugh Dale
Claimant Lawyers(s): Hugh D. Dale
Respondent(s): Neil Morganbesser, Cappello Capital Corp.
Respondent Lawyers(s): Jeffrey A. Sklar, Matthew N. Falley
Arbitrator(s): Donald B. Vaden, Christopher Lee Howard, Stephen M. Bales
Hearing Site: Charleston, WV
| | $3,698 |
| 11-01549 | 10/19/2012 | Claimant(s): Edward LaPosta
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Donald B. Vaden
Hearing Site: Charleston, WV
| | Expungement |
| 10-04155 | 07/18/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Alan Hollingsworth
Respondent Lawyers(s): Paul E. Tinkler
Arbitrator(s): Donald B. Vaden
Hearing Site: Columbia, SC
| | |
| 10-01463 | 05/10/2012 | Claimant(s): Barbara Wren, Robert Wren, Wren and Wren Trust UAD 2/30/06
Claimant Lawyers(s): Andrew Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Donald B. Vaden, Beverly F. Druitt, John D. Robb
Hearing Site: Richmond, VA
| | $307,778 |
| 10-04782 | 05/08/2012 | Claimant(s): Roger Loria, Winifred Loria, Dr. Roger Loria IRA, Mrs. Winifred Loria IRA, Immunitas. Retirement Plan
Claimant Lawyers(s): Anne W. Larkin
Respondent(s): Arnold Dorman, Elmer Bullis, Next Financial Group.
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Donald B. Vaden, JoAnne Lewis Nolte, Margaret Verdery Little
Hearing Site: Richmond, VA
| | $225,000 |
| 10-02298 | 01/12/2012 | Claimant(s): Debra Kennedy and Harold Kennedy
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Joseph Audia, Matthew Ferber, Stephen Marek, American Capital Partners, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): John Kilkenny, Michael P. Gilmore, Scott Holcomb
Arbitrator(s): Donald B. Vaden, Glenn H. Catalano, Michael W. Hultzapple
Hearing Site: Richmond, VA
| | Expungement |
