| 13-01524 | 06/17/2015 | Claimant(s): Edmund Blickle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Caryl S. Bernstein, Edward J. Gutman, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
|  | Expungement |
| 12-03886 | 03/30/2015 | Claimant(s): Evelyn Cartrette
Claimant Lawyers(s): Evelyn Faye Cartrette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sergio Galindo
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): C. Gregory Ellison, M. Michael Cramer, George Allen Whitehouse
Hearing Site: Baltimore, MD
| | Expungement |
| 14-00394 | 02/13/2015 | Claimant(s): Jonathan Plavnick
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Janet Stern Solomon
Hearing Site: Baltimore, MD
| | Expungement |
| 13-02584 | 01/29/2015 | Claimant(s): Tae M. Kim and Young J. Kim
Claimant Lawyers(s): Tae M. Kim
Respondent(s): TD Ameritrade., Investrade Discount Sec. aka Regal Sec.
Respondent Lawyers(s): James J. Vihstadt, Nicholas P. Iavarone
Arbitrator(s): Ezio E. Borchini, Mona Koppel Mitnick, Catherine Esther Bocskor
Hearing Site: Baltimore, MD
| | $0 |
| 13-03068 | 12/04/2014 | Claimant(s): Kevin Rodriguez
Claimant Lawyers(s): Jason W. Gaarder
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillps
Arbitrator(s): Shahla Butler, Vicky L. Orem, Thomas James Hirsch
Hearing Site: Baltimore, MD
| | $0 |
| 13-03125 | 11/24/2014 | Claimant(s): Samuel Young
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Jinesh Brahmbhatt
Respondent Lawyers(s): Jinesh Pravin Brahmbhatt
Arbitrator(s): William O. SanFord, La Verne Fletcher, Shelley Simons Korch
Hearing Site: Baltimore, MD
| | $2,100,000 |
| 13-00114 | 10/15/2014 | Claimant(s): Christine Nielson
Claimant Lawyers(s): Thomas P. Willcutts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Vicky L. Orem, Sandra Holmes, Peter H. Goldberg
Hearing Site: Baltimore, MD
| | Expungement |
| 14-00741 | 09/29/2014 | Claimant(s): Darien Buinicki
Claimant Lawyers(s): Darien P. Buinicki
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Emily Eiselman Hunter
Hearing Site: Baltimore, MD
| | $300 |
| 14-00484 | 08/22/2014 | Claimant(s): Dana and Susan Goodrich
Claimant Lawyers(s): Dana C. Goodrich
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
| | $163 |
| 13-03041 | 08/08/2014 | Claimant(s): Robert E and Susan Bowers
Claimant Lawyers(s): Robert Bowers
Respondent(s): Scott Eglseder, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $4,632 |
