| 18-02342 | 12/27/2022 | Claimant(s): Marianne Antczak
Claimant Lawyers(s): Theodor A. Swansen
Respondent(s): Bridget Fernandez, TD Ameritrade Clearing., TD Ameritrade., TD Ameritrade Investment Management
Respondent Lawyers(s): Bridget A. Fernandez, Neils P. Murphy
Arbitrator(s): Donald S. Bauman, George Aleman, Andrew S. Walsh
Hearing Site: Philadelphia, PA
|  | $1,662,660 |
| 20-00161 | 11/09/2021 | Claimant(s): Carol Avery, Robert Avery
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Sherry R. Wetsch, Jude A Smith, Mark Ritchie
Hearing Site: Houston, TX
| | $51,375 |
| 14-01160 | 03/27/2015 | Claimant(s): Gregory Piro
Claimant Lawyers(s): Gregory V. Piro
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Robert F. Sanville
Hearing Site: Philadelphia, PA
| | $25 |
| 14-01079 | 10/16/2014 | Claimant(s): Michael Korbel
Claimant Lawyers(s): Michael Korbel
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $0 |
| 12-01585 | 06/18/2014 | Claimant(s): Lilred
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Ameriprise Financial Services., American Enterprise Investment Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Edward R. Niederriter, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | $0 |
| 12-01974 | 05/07/2013 | Claimant(s): Ronald Damiani
Claimant Lawyers(s): Ronald Gene Damiani
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Michael Dean, David L. Moran, Robert Dean McKinley
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12206 |
| 07-00710 | 01/31/2008 | Claimant(s): Cliff Naparsteck
Claimant Lawyers(s): Cliff Martin Naparsteck
Respondent(s): Ameriprise Financial Services., John Schoppe
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Arnold B. Galperin
Hearing Site: Boca Raton, FL
| | |
