| 09-00623 | 12/15/2009 | Claimant(s): Dickerson Living Trust
Claimant Lawyers(s): William A. Healy
Respondent(s): Jarrett Gounaris, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira L. Oring
Arbitrator(s): N. Clark Moran, Maurice R. Dunie, Shelley Simons Korch
Hearing Site: Baltimore, MD
|  | $0 |
| 08-04361 | 10/21/2009 | Claimant(s): David Durdon
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Sandra Lee Dolan, Cynthia R. Pinkney, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $0 |
| 08-03597 | 10/05/2009 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Jeff Logan
Respondent(s): Aaron Holland
Respondent Lawyers(s): Aaron Holland
Arbitrator(s): Herbert B. Williams, Thomas E. Maloney, Joan M. Smith
Hearing Site: Baltimore, MD
| | |
| 07-03507 | 08/31/2009 | Claimant(s): John Alltop, Lacoe Alltop, Robert Jordan
Claimant Lawyers(s): William L. Haugh
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Michael J. Henke, Jane F. Moore, Richard Jeffrey Magid
Hearing Site: Baltimore, MD
| | $375 |
| 08-03406 | 07/30/2009 | Claimant(s): Larry Overbay
Claimant Lawyers(s): Larry W. Overbay
Respondent(s): Danielle Newman, Robert Carpenter
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
| | $15,031 |
| 07-02213 | 06/05/2009 | Claimant(s): Charles Poehlitz, Evelyn Jones, Grace Pipitone, Grover Drum, Estate of Augustus Pickens, Estate of Pauline Sweet
Claimant Lawyers(s): Frank J. Mastro, Richard J. Magid
Respondent(s): Uzo Chima, Suntrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis, Uzo Chima
Arbitrator(s): John A. Gray, Joan M. Smith, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $0 |
| 07-02872 | 03/05/2009 | Claimant(s): Douglas Strayer, Julie Strayer
Claimant Lawyers(s): Julie D. Strayer
Respondent(s): Wachovia Securities, John Brady
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Sandra Lee Dolan, Wilbert H. Luck, John Laing Bowles
Hearing Site: Baltimore, MD
| | Stipulated Award and Expungement |
| 06-04993 | 01/15/2009 | Claimant(s): Maureen Madonna, Raymond Madonna
Claimant Lawyers(s): Marc A. Schifanelli
Respondent(s): Diana McKinney, Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams, Diana McKinney
Arbitrator(s): Sandra Lee Dolan, Jane F. Moore, John Joseph Hentschel, CRE, MAI, FRICS
Hearing Site: Baltimore, MD
| | Settlement |
| 04-05979 | 12/22/2008 | Claimant(s): Elliott Haines
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Baltimore, MD
| | $0 |
| 08-00576 | 12/12/2008 | Claimant(s): Heather Lynch
Claimant Lawyers(s): Clinton R. Black
Respondent(s): Andrew Martin, Morgan Stanley & Co.
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): Richard F. Bieker, Robert T. Reeves, Barrett W. Freedlander
Hearing Site: Baltimore, MD
| | $236,394 |
