| 14-00477 | 11/20/2014 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Henry L. Saurborn, Jr.
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Walter A. Saurack
Arbitrator(s): Fern Sue Reidman
Hearing Site: New York, NY
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| 12-03916 | 11/14/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Terrance Wilkerson
Respondent Lawyers(s): Kevin S. Wiley, Jr.
Arbitrator(s): James M. Tipton, Todd R. Gough, William A. Fynes
Hearing Site: Dallas, TX
| | |
| 12-03716 | 06/06/2013 | Claimant(s): Thomas Bartholomew
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Charlotte Stone, Lindsey H. Perry, As Co-Trustee, Jr., William McCurry
Respondent Lawyers(s): Robert Rex
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
| | Expungement |
| 11-04425 | 09/25/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): James Ward, Jr.
Respondent Lawyers(s): James Oather Ward
Arbitrator(s): R. Phillip Reed, David B. Lacks, Matthew R. Salamon
Hearing Site: Little Rock, AR
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| 10-01893 | 06/16/2011 | Claimant(s): Steven Smith
Claimant Lawyers(s): Patricia L. Payne
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph E. Gehring, Jr.
Arbitrator(s): Robert Vaughan Cornish, Christopher M. McMurray, William E. Nelson
Hearing Site: Washington, DC
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| 10-01900 | 06/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Robert Isom
Respondent Lawyers(s): John S. Pringle, Jr.
Arbitrator(s): William H. Malloy
Hearing Site: Columbia, SC
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| 08-01606 | 05/26/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Nicole Stadelmaier
Respondent(s): Gregory Ricker
Respondent Lawyers(s): Grover S. Parnell, Jr.
Arbitrator(s): Alan M. Schankel, Felix A. Meschini, John T. Hausladen
Hearing Site: Philadelphia, PA
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