| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
|  | $0 |
| 15-00343 | 08/19/2016 | Claimant(s): Richard D. Wieboldt & Linda D. Wieboldt
Claimant Lawyers(s): Scott Greco
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Janet Stern Solomon, Arthur J. Salzberg, Judith B. Ittig
Hearing Site: Washington, DC
| | Expungement |
| 15-00443 | 07/11/2016 | Claimant(s): Barbara Bond, Roger Bond, Barbara J. Bond IRA, Roger K. Bond IRA, Barbara J. Bond Trust dtd 10/23/2006, Roger K. Bond Trust dtd 10/23/2006
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Frederick Baerenz
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Mary E. Woytek, Emily Eiselman Hunter, Walter Peterson
Hearing Site: Washington, DC
| | $331,000 |
| 13-01182 | 06/20/2016 | Claimant(s): Brett Bennett, John Meekin, Philip Hobley, Richard Wayne, Christopher Testa IRA
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Maria Cummings
Arbitrator(s): Henry G. Plaster, Yvette C. Hatfield, Heidi Markovitz
Hearing Site: Washington, DC
| | $0 |
| 15-00686 | 12/22/2015 | Claimant(s): Robert Vanderhye, Estate of Arthur R. Vanderhye
Claimant Lawyers(s): Robert A. Vanderhye
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Robert Charkovsky, Karen L. Crump-Wilson, Lisa Blunk Johnson
Hearing Site: Washington, DC
| | $13,200 |
| 14-02899 | 10/29/2015 | Claimant(s): Alaleh Banafshe and Saied Banafshe
Claimant Lawyers(s): Saied Banafshe
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 15-00504 | 09/28/2015 | Claimant(s): Kathleen McCue, Kathleen F. McCue o/b/o IRA
Claimant Lawyers(s): Marvin L. Szymkowicz
Respondent(s): Dennis Cambal, Geoffrey Cambal, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | $300 |
| 14-02197 | 09/11/2015 | Claimant(s): Ryan Williams, Sharon Johnson
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Fuad Ahmed, Jinesh Brahmbhatt, Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed, Jinesh P. Brahmbhatt
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
| | $400,300 |
| 14-03593 | 06/03/2015 | Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): William Nelson, Meyers Associates, L.P.
Respondent Lawyers(s): David S. Schrader
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | $0 |
| 13-03048 | 05/13/2015 | Claimant(s): Yolanda Bauza
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn
Hearing Site: Washington, DC
| | $200,000 |
