| 16-00695 | 08/16/2017 | Claimant(s): Brenda Phetteplace, Thomas Trout
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
|  | Expungement |
| 13-00664 | 05/12/2014 | Claimant(s): Hillcrest Children's Center, Hillcrest Funding
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): Mary E. Woytek, Paul Davis Pearlstein, Armand Philip Lione
Hearing Site: Washington, DC
| | $750,000 |
| 13-00467 | 04/07/2014 | Claimant(s): John Crowley, Lamia Crowley
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Paul Davis Pearlstein, Geoffrey A. Drucker, Shelley Simons Korch
Hearing Site: Washington, DC
| | $200,000 |
| 11-02178 | 01/08/2013 | Claimant(s): Chaiha Rhee, Diane Weeks, Gerald Chickillo, Jack Duncan, Janet Murphy, Linda Chernisky, Tonya Chickillo, RT Solutions, Estate of Wesley Weeks by Diane Weeks,
Claimant Lawyers(s): John S. Chapman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Paul Davis Pearlstein, Michael R. Snow, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 09-00543 | 07/16/2012 | Claimant(s): Robert Sapp
Claimant Lawyers(s): James K. Barbee
Respondent(s): Howard Pinson, ING Financial Partners.
Respondent Lawyers(s): Louis H. Castoria, Shannon L. McDougald
Arbitrator(s): Bryon P. Fusini, Paul Davis Pearlstein, Robert Charkovsky
Hearing Site: Washington, DC
| | $190,000 |
| 11-01012 | 12/27/2011 | Claimant(s): John Francesconi
Claimant Lawyers(s): John Francesconi
Respondent(s): James Johnson
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Paul Davis Pearlstein, Stephan Paul Carrier, Donald B. Katz
Hearing Site: Richmond, VA
| | $0 |
| 11-00385 | 06/20/2011 | Claimant(s): Richard Watts and Sally Warner Watts
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $32,925 |
| 09-00018 | 06/25/2009 | Claimant(s): Charlotte D. Botello Revocable Trust
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Global Brokerage Services.
Respondent Lawyers(s): Gregory T. Lawrence
Arbitrator(s): Paul Davis Pearlstein, Mona Koppel Mitnick, Oliver P. Roche
Hearing Site: Washington, DC
| | $0 |
| 07-01120 | 11/02/2007 | Claimant(s): Linda Chandler
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jack G. Lerner
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $0 |
| 06-04416 | 10/25/2007 | Claimant(s): Franklin Fitch
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Ameriprise Advisor Services., Manish Mukhi
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Paul Davis Pearlstein, Deborah Page Aune, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
