| 20-01324 | 02/08/2021 | Claimant(s): Trevor Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): William F. Etherington
Hearing Site: Richmond, VA
| | |
| 12-03649 | 04/07/2014 | Claimant(s): Fred Hetzel
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Erinn Ford, James Ortlip, Mark McCloskey, Philip Pizelo, Shanon Ford, AOG Wealth Managment, Alpha Omega Group., Pacific West Securities.
Respondent Lawyers(s): Erinn J. Ford, Joseph Campo, Mark T. McCloskey, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): David Edward Upton, Carol A. Schuyler, William F. Etherington
Hearing Site: Richmond, VA
|  | Expungement |
| 11-02548 | 09/27/2012 | Claimant(s): Perry Allen
Claimant Lawyers(s): Anne W. Larkin
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Chris J. Conanan, William F. Etherington, Christian Peter Cimmino
Hearing Site: Richmond, VA
| | Expungement |
| 09-00745 | 01/08/2010 | Claimant(s): E. Gunter
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Michael Segal, Steve Morris, Thomas ONeill, Whitaker Securities LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Peter B. Vaden, William F. Etherington, John Kevin Williams
Hearing Site: Richmond, VA
| | Stipulated Award |
| 08-00489 | 05/22/2009 | Claimant(s): John Francesconi
Claimant Lawyers(s): Nicholas J. Bell
Respondent(s): Dixon Handwerk, Michael Thaler
Respondent Lawyers(s): Andrew Biondi, Debra S. Stafford
Arbitrator(s): William F. Etherington, Christopher M. McMurray, Margaret Verdery Little
Hearing Site: Richmond, VA
| | Stipulated Award and Expungement |
