| 14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer
Claimant Lawyers(s): John P. Connolly
Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford
Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman
Hearing Site: Washington, DC
|  | $0 |
| 13-03541 | 02/13/2015 | Claimant(s): Anthony Kurtz, Nancy Legum
Claimant Lawyers(s): Paul C. Kurtz
Respondent(s): RBC Capital Markets LLC, Samuel Koltun
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): Jeffry L. Perlman, Chris J. Conanan, Michael R. Snow
Hearing Site: Washington, DC
| | $0 |
| 11-04166 | 02/02/2015 | Claimant(s): Warren Teitelbaum
Claimant Lawyers(s): George S. Mahaffey
Respondent(s): Jay Canell, Morgan Stanley, Neil Canell
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Paulger Linn, John Joseph Sullivan, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
| 14-01691 | 01/09/2015 | Claimant(s): Securities Investor Protection Corp.
Claimant Lawyers(s): Hemant Sharma
Respondent(s): Joan Perry, Take Charge Financial
Respondent Lawyers(s): Joan A. Perry, Joan Anne Perry
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
| | $100,000 |
| 13-00612 | 10/21/2014 | Claimant(s): Kerry Edwards
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins, Jeffrey K. Compton
Arbitrator(s): Caryl S. Bernstein, Peter H. Goldberg, Karla Jayne Letsche
Hearing Site: Washington, DC
| | $100,250 |
| 13-02499 | 08/21/2014 | Claimant(s): Amy Daniels and Wayne Daniels Joint Tena
Claimant Lawyers(s): Todd H. Lahr
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Bonnie K. Wachtel, Douglas Earl McLaren, Jean Schepers
Hearing Site: Washington, DC
| | $0 |
| 12-02268 | 07/31/2014 | Claimant(s): Joanna Lyon, Ray Lyon
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Douglas Earl McLaren, Jonathan K. Tycko, Jane A. Smith
Hearing Site: Washington, DC
| | Expungement |
| 12-02701 | 07/18/2014 | Claimant(s): Ivan Venuchekov, Ivan S. Venuchekov, trustee J.Simon 9/02, trustee P.Simon 4/87
Claimant Lawyers(s): John P. Connolly
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel Everest
Arbitrator(s): Arthur J. Wilson, Stephan Paul Carrier, Shelley Simons Korch
Hearing Site: Washington, DC
| | 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 |
