| 18-00180 | 03/28/2019 | Claimant(s): Donna Elder
Claimant Lawyers(s): Stephen C. Leckar
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marilyn Ginger McCauley
Arbitrator(s): Bonnie K. Wachtel, Barbara Davis Solomon, Shelley Simons Korch
Hearing Site: Washington, DC
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| 18-00427 | 07/18/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Bonnie K. Wachtel, Jane C. Carney, Christopher Ryan Moore
Hearing Site: Washington, DC
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| 14-02394 | 11/24/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): John Cutshall
Respondent Lawyers(s): E. Patrick McDermott
Arbitrator(s): Bonnie K. Wachtel, Marian Smith Glenn, David Paul Clark
Hearing Site: Baltimore, MD
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| 10-01187 | 11/21/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): David H. Brodie
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Peter Meyer
Arbitrator(s): Bonnie K. Wachtel, Neil T. Treger, Lawrence M. Barnes
Hearing Site: Washington, DC
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| 10-01398 | 05/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Christopher Cunningham
Respondent Lawyers(s): Thomas P. Silis
Arbitrator(s): Bonnie K. Wachtel, Caryl S. Bernstein, Karen L. Crump-Wilson
Hearing Site: Washington, DC
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| 09-05313 | 01/20/2011 | Claimant(s): Clarence Taylor, Jason Haddaway, Jonathan Bjoring, Michael Gray
Claimant Lawyers(s): Thomas Earl Patton
Respondent(s): Banc of America Investment Services Inc., Bank of America Corporation
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Bonnie K. Wachtel, William H. Malloy, Caryl S. Bernstein
Hearing Site: Washington, DC
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| 08-02151 | 08/25/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Samuel Begun
Respondent Lawyers(s): Samuel Begun
Arbitrator(s): Bonnie K. Wachtel, Ralph S. Blascovich, Paul A. Fischer
Hearing Site: Washington, DC
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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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| 07-02404 | 07/16/2008 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Matthew R. Stammel
Respondent(s): A. Waddell
Respondent Lawyers(s): James A. Batson
Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin
Hearing Site: Washington, DC
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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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