| 12-03433 | 12/23/2014 | Claimant(s): Scott Mccaskill
Claimant Lawyers(s): David J. Cosgrove
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Douglas Earl McLaren, Ezio E. Borchini, Tina E. Patterson
Hearing Site: Baltimore, MD
| | |
| 13-02238 | 11/04/2014 | Claimant(s): Allan Pinkus
Claimant Lawyers(s): Daniel M. Kennedy
Respondent(s): James Furnary
Respondent Lawyers(s): Irving Greenberg
Arbitrator(s): Nancy E. Watters, Brenda J. Stovall, Margaret Ann Dubil
Hearing Site: Baltimore, MD
| | |
| 13-01661 | 10/27/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Francis X. Dee
Respondent(s): Gary Padussis
Respondent Lawyers(s): E. Patrick McDermott
Arbitrator(s): Maurice R. Dunie, Ezio E. Borchini, J. Snowden Stanley
Hearing Site: Baltimore, MD
| | |
| 12-01480 | 05/09/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Elizabeth A. Arismendy
Respondent(s): Christopher Mamunes
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | |
| 12-03523 | 05/09/2014 | Claimant(s): Sean Horrigan
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
| | |
| 13-00992 | 11/21/2013 | Claimant(s): Charles Ward
Claimant Lawyers(s): Rebecca E. Swenson
Respondent(s): Helen Ward, John Ward, UBS Financial Services Inc., Lea Ward
Respondent Lawyers(s): Helen Ward, John P. Ward, Lea C. Ward, Rebecca E. Swenson
Arbitrator(s): Richard E. Lauziere, Brenda J. Stovall, Jason William Gaarder
Hearing Site: Baltimore, MD
| | Expungement |
| 13-01177 | 11/01/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Deane
Respondent Lawyers(s): Robert Searles Deane
Arbitrator(s): Tina E. Patterson
Hearing Site: Baltimore, MD
| | |
| 13-00055 | 09/04/2013 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Margaret Mary Crumley, Lynn Carole Bellamy, John David Morgan
Hearing Site: Baltimore, MD
| | Expungement |
| 12-03686 | 05/24/2013 | Claimant(s): Lisa Fulco
Claimant Lawyers(s): Lisa A Fulco
Respondent(s): Banc of America Investment Services Inc., Metlife Securities Inc.
Respondent Lawyers(s): Bruce M. Steen, Martin Harris
Arbitrator(s): Christopher M. McMurray
Hearing Site: Baltimore, MD
| | |
| 11-04009 | 11/27/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Wells Fargo Advisors Financial Network, Ellen Boyce
Respondent Lawyers(s): Jordan D. Becker, Thomas Bradford Lewis
Arbitrator(s): Maurice R. Dunie, Ezio E. Borchini, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | |
