| 18-04126 | 02/13/2020 | Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
|  | $0 |
| 18-04133 | 12/12/2019 | Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 10-00219 | 08/05/2010 | Claimant(s): Charles Stoveken
Claimant Lawyers(s): Charles B. Stoveken
Respondent(s): William Medlin, Equity Concepts, L.L.C., Sanders Morris Harris Inc.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
| | $4,818 |
