| 19-03694 | 09/14/2020 | Claimant(s): Paul Ewing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): Richard Dunstan
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Kansas City, MO
| | |
| 18-03846 | 03/05/2020 | Claimant(s): James Bradford
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Anthony Mediate, NewBridge Securities Corp.
Respondent Lawyers(s): Anthony Mediate, Gregg J. Breitbart
Arbitrator(s): Gregory D. Hoffmann, Maurice M. Feller, Harvey R. Linder
Hearing Site: Jackson, MS
|  | Dismissed by Rule 12206/12504 |
| 18-00351 | 01/23/2020 | Claimant(s): Samuel Adams
Claimant Lawyers(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ashley Kutz Kelly
Arbitrator(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
| | |
| 18-03159 | 11/11/2019 | Claimant(s): Nicole Muir
Claimant Lawyers(s): Andre R. Perron
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Jeffrey J. Kalinowski
Arbitrator(s): Gregory D. Hoffmann, David Schwartzberg, Yuli Kotler
Hearing Site: Tampa, FL
| | |
| 17-00078 | 02/08/2019 | Claimant(s): Sam Freeland
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory D. Hoffmann, A. Ronald Tonks, Irwin Venick
Hearing Site: Nashville, TN
| | $15,000 |
| 18-03601 | 01/21/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Rameshwar Ramcharran
Respondent Lawyers(s): Rameshwar Ramcharran
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Tampa, FL
| | |
| 15-02425 | 05/04/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Alice Bates, James Johnson, Jeffrey Hughes, Robert Samson, Tyson Ray, William Finke
Respondent Lawyers(s): Lisa S. Fildes, Matthew B. Baum, William George Finke
Arbitrator(s): Langfred W. White, Gregory D. Hoffmann, James Arthur Taylor
Hearing Site: Tampa, FL
| | |
| 15-03156 | 04/16/2018 | Claimant(s): Mark Slaughter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Philip J. Mackey
Arbitrator(s): Gregory D. Hoffmann, Kenneth R. Starr, Andrew Michael Bonderud
Hearing Site: Jacksonville, FL
| | $78,500 |
| 17-03056 | 03/28/2018 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Leslie Slaughter
Respondent Lawyers(s): Leslie Ann Slaughter
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Columbia, SC
| | |
| 17-01262 | 12/26/2017 | Claimant(s): Scott Jaffe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kurt T. Kalberer
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Tampa, FL
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