| 09-01368 | 09/29/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): James Hodges
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): AnnDrea M. Benson, Marian Smith Glenn, J. Snowden Stanley
Hearing Site: Baltimore, MD
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| 09-03940 | 08/18/2009 | Claimant(s): MetLife Securities., Metropolitan Life Insurance Company
Claimant Lawyers(s): Brian E. Spang
Respondent(s): Robert Stankowski
Respondent Lawyers(s): James H. West
Arbitrator(s): Alan S. Carmel, Arthur J. Salzberg, James M. Johnstone
Hearing Site: Baltimore, MD
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| 08-02539 | 07/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Schuler
Respondent Lawyers(s): Michael Schuler
Arbitrator(s): C. Gregory Ellison, Gregory R. Banasz, Jason William Gaarder
Hearing Site: Baltimore, MD
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| 08-00928 | 04/14/2009 | Claimant(s): H. Scherr
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julianne L. Peck
Arbitrator(s): Lloyd Haas, T.S.L. Perlman, Ellen F. Kandell
Hearing Site: Baltimore, MD
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| 07-00664 | 03/09/2009 | Claimant(s): Uzo Chima
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): E. William Pastor, Gerald B. Marcovsky, Judith A. Ashley
Hearing Site: Baltimore, MD
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| 08-01353 | 11/12/2008 | Claimant(s): Katherine Knowlden-Ryerson
Claimant Lawyers(s): Katherine C. Knowlden-Ryerson
Respondent(s): Primevest Financial Services.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Joseph O'Donnell
Hearing Site: Baltimore, MD
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| 07-02653 | 07/25/2008 | Claimant(s): Robert Frank
Claimant Lawyers(s): Frank L. Kollman
Respondent(s): Ferris, Baker Watts Inc.
Respondent Lawyers(s): Susan M. Guerette
Arbitrator(s): Donald R. Giacomelli, Baunita M. Greer, Joan M. Smith
Hearing Site: Baltimore, MD
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| 07-02466 | 07/17/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Sherrick
Respondent Lawyers(s): Joseph J. Sherrick
Arbitrator(s): Bonnie K. Wachtel, Donald R. Giacomelli, Stephanie Wagner Ketchum
Hearing Site: Baltimore, MD
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| 07-03156 | 05/28/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joel Small
Respondent Lawyers(s): Joel Small
Arbitrator(s): Bonnie K. Wachtel, Daniel T. McHugh, Bonnie Dale King-Rose
Hearing Site: Baltimore, MD
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| 07-00623 | 08/28/2007 | Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Walter Clark
Respondent Lawyers(s): Walter Clark
Arbitrator(s): Catherine Ladnier
Hearing Site: Baltimore, MD
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