| 12-02766 | 02/17/2015 | Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
|  | $666,618 |
| 14-00432 | 09/12/2014 | Claimant(s): James Joyner
Claimant Lawyers(s): James B. Joyner
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 13-00019 | 07/16/2014 | Claimant(s): Michael Fertich
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, John D. Robb, Carl F. Bowmer
Hearing Site: Richmond, VA
| | Dismissed by Rule 12206 |
| 11-04311 | 04/11/2013 | Claimant(s): Trudi Claus
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Princor Financial Services Corporation
Respondent Lawyers(s): Rebecca B. Rothmann
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Michael J. Pasquale
Hearing Site: Richmond, VA
| | Expungement |
| 11-00881 | 02/17/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Alvaro Casella
Respondent Lawyers(s): Alvaro G. Casella
Arbitrator(s): Lewis H. Kairys, Carl F. Bowmer, Thomas W. Allen
Hearing Site: Raleigh, NC
| | $0 |
| 10-01604 | 09/06/2011 | Claimant(s): Connie Hage
Claimant Lawyers(s): Steve Virgil
Respondent(s): Larry James, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea M. Greene, Kathryn L. Dietrich
Arbitrator(s): Carl F. Bowmer
Hearing Site: Raleigh, NC
| | $0 |
| 09-04116 | 07/09/2010 | Claimant(s): Michael Hannon, The Michael Hannon Rev. Trust dtd 5/5/93
Claimant Lawyers(s): Andrew Park
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Stephanie P. Karn
Arbitrator(s): Carol A. Schuyler, Carl F. Bowmer, Robert L. Hinson
Hearing Site: Richmond, VA
| | $2,032,470 |
| 08-00532 | 01/15/2009 | Claimant(s): Branch Avenue Plaza, L.P.
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Gary Ackerman, United Securities Alliance.
Respondent Lawyers(s): Brenda Neel Hight, Derek C. Anderson
Arbitrator(s): Glenn H. Catalano, Charles Mitchell Conover, Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
