| 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 |
| 11-01096 | 07/31/2012 | Claimant(s): Karen Sallerson, Ronald Sallerson
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | Expungement |
| 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 |
| 11-01874 | 07/16/2012 | Claimant(s): Frank Steinke, Frank C. Steinke Rev. Lvg TRT UAD 8/7/07
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Nicholas D. Skaltsounis, Custodian
Arbitrator(s): Marvin Elster, Jane A. Smith, Lisa Blunk Johnson
Hearing Site: Washington, DC
| | $6,375 |
| 11-04536 | 07/11/2012 | Claimant(s): Michelle Massie
Claimant Lawyers(s): Michelle Nicole Massie
Respondent(s): BNY Mellon Securities LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Maurice R. Dunie
Hearing Site: Washington, DC
| | $319 |
| 10-04705 | 06/29/2012 | Claimant(s): Samar Ghadry
Claimant Lawyers(s): Stephen W Nichols
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Jeremy D. Schildcrout
Arbitrator(s): Walter Peterson, Jerome Nelson, Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
| 09-03464 | 03/14/2012 | Claimant(s): Ora Hodges, Paul Kay
Claimant Lawyers(s): Ora Hodges
Respondent(s): James Kujawski, Morgan Stanley & Co., Kristin Long, Morgan Stanley Smith Barney
Respondent Lawyers(s): Christopher Wilson, James A. Kujawski, Kristin G. Long
Arbitrator(s): William H. Malloy, Nickey D. Turner, William Stephen McGee
Hearing Site: Washington, DC
| | Expungement |
| 11-01531 | 02/16/2012 | Claimant(s): Lawrence Glaser, Benjamin Glaser, Erin Glaser, Hannah Glaser, Kimberly Glaser
Claimant Lawyers(s): Simon Kogan
Respondent(s): Edmund Stephan, Jonathan Legg, Morgan Stanley & Co.
Respondent Lawyers(s): Edmund Stephan, Joseph C. Coates
Arbitrator(s): Louis Paul Sitnik, Joyce A. Mitchell, Mark R. Joelson
Hearing Site: Washington, DC
| | Expungement |
| 11-02228 | 01/20/2012 | Claimant(s): William Brandt
Claimant Lawyers(s): William H. Brandt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael H. McConihe, Robert Charkovsky, Larry E. Ray
Hearing Site: Washington, DC
| | $0 |
| 10-00365 | 08/29/2011 | Claimant(s): Peter O'Rourke
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Anthony Salino, Felix Roman, Mercer Capital Ltd.
Respondent Lawyers(s): Brian Reis, Felix Roman
Arbitrator(s): Marvin Elster
Hearing Site: Washington, DC
| | $4,000 |
