| 17-03299 | 10/03/2019 | Claimant(s): Michael Stern, Paul Levin, Wendy Stern, Estate of Gloria Levin
Claimant Lawyers(s): Daniel J. Miller
Respondent(s): Kenneth Blumberg, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Edward J. Gutman, Catherine Esther Bocskor, John Leslie Coker
Hearing Site: Baltimore, MD
|  | $1,524,180 |
| 18-03653 | 06/11/2019 | Claimant(s): Young Lee
Claimant Lawyers(s): Young S. Lee
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | $0 |
| 17-01393 | 05/29/2019 | Claimant(s): Jonathan Feldman
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): optionsXpress.
Respondent Lawyers(s): Stephen J. Senderowitz
Arbitrator(s): James A. Hayes, Joseph J. Dougherty, John Nelson Greer
Hearing Site: Baltimore, MD
| | $1,558,000 |
| 18-03193 | 04/25/2019 | Claimant(s): Junfeng Song
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group., Ameritas Investment Corp.
Respondent Lawyers(s): Andrea Snowden, Edward Zusman
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
| 17-02774 | 02/20/2019 | Claimant(s): Dennis Francy
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Alexander Gorchakov, Nelson Felix, Wilfredo Felix, Primex
Respondent Lawyers(s): Alexander Gorchakov, Michael D. Handelsman
Arbitrator(s): Richard E. Lauziere, Ezio Borchini, John James McGovern
Hearing Site: Baltimore, MD
| | $72,896 |
| 18-01537 | 01/23/2019 | Claimant(s): Leopold Brandenburg
Claimant Lawyers(s): Leopold R Brandenburg
Respondent(s): Charles Sawyer
Respondent Lawyers(s): Alex J. Brown
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $0 |
| 18-02838 | 12/31/2018 | Claimant(s): Stanley Young
Claimant Lawyers(s): Stanley E. Young
Respondent(s): Timothy Grossman, Valic Financial Advisors.
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): Vicky L. Orem
Hearing Site: Baltimore, MD
| | $9,266 |
| 18-01812 | 09/21/2018 | Claimant(s): Amy Tartikoff Gitelman
Claimant Lawyers(s): Amy Tartikoff Gitelman
Respondent(s): Morgan Stanley, Mary Boyle
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): David L. Ruderman
Hearing Site: Baltimore, MD
| | $213 |
| 18-00952 | 08/16/2018 | Claimant(s): Ganpu Ying
Claimant Lawyers(s): Ganpu Ying
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $0 |
| 17-01896 | 05/14/2018 | Claimant(s): Estate of Wallace Hubbert
Claimant Lawyers(s): Jeffrey S. Cianciulli
Respondent(s): UBS Financial Services Inc., Mark Namvary, Peter Bradford, Peter Foote
Respondent Lawyers(s): Brian J. Ellis, Peter John Bradford
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
| | Expungement |
