| 18-02256 | 02/14/2020 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Eric Wolf
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Marian Smith Glenn, Michael W. Hultzapple, Jane Tam
Hearing Site: Norfolk, VA
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| 19-00710 | 10/17/2019 | Claimant(s): Michael Brooks
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Norfolk, VA
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| 15-03344 | 02/22/2017 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Justin Hendrick
Respondent Lawyers(s): Justin Hendrick
Arbitrator(s): Richard E. Lauziere, Gregory Hunter Mathews, Linda Arlene Michler
Hearing Site: Norfolk, VA
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| 15-00777 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jeffrey Smith
Respondent Lawyers(s): Jeffrey H. Smith
Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark
Hearing Site: Norfolk, VA
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| 14-01781 | 10/09/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Peter B. Vaden
Hearing Site: Norfolk, VA
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| 12-01637 | 11/19/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Sean Pepe
Respondent Lawyers(s): Sean Phillip Pepe
Arbitrator(s): Stuart H. Dunn
Hearing Site: Norfolk, VA
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| 11-00720 | 05/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Mark Magnone
Respondent Lawyers(s): William A. Healy
Arbitrator(s): Peter B. Vaden, Laurence M. Scoville, William James Russell
Hearing Site: Norfolk, VA
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| 10-01652 | 06/20/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): James Godsey
Respondent Lawyers(s): Gary C. Byler
Arbitrator(s): C. Gregory Ellison, Michael E. Scullin, Donita M. King
Hearing Site: Norfolk, VA
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| 09-05123 | 02/11/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Thomas B. Corey
Hearing Site: Norfolk, VA
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| 07-01872 | 06/13/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gary Compton
Respondent Lawyers(s): Gary R. Compton
Arbitrator(s): John J. Muldowney, Sidney L. Sussman, Glenn H. Catalano
Hearing Site: Norfolk, VA
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