| 14-00360 | 07/30/2014 | Claimant(s): Betty Brown
Claimant Lawyers(s): Betty Brown
Respondent(s): Andrew Lenich, Cambridge Investment Research.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
|  | $0 |
| 12-04176 | 05/23/2014 | Claimant(s): John Troutman
Claimant Lawyers(s): Rebecca S. LeGrand
Respondent(s): Anthony Lubrano, Joseph Alagna, Keith Michelfelder, Philip Goodman, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Amit Shah
Arbitrator(s): Janet Thomas Johnson, Mona Koppel Mitnick, John Stuart Graham
Hearing Site: Baltimore, MD
| | $702,037 |
| 12-02542 | 05/09/2014 | Claimant(s): Robert Reynolds
Claimant Lawyers(s): David J. Stone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Jim Geiger, Thomas B. Corey, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | Expungement |
| 12-03412 | 03/31/2014 | Claimant(s): Albert Clark, Victoria Clark
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Peter Maller, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Schaffner
Arbitrator(s): Thomas B. Corey, Samuel A. Alward, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 12-02784 | 01/21/2014 | Claimant(s): William Phipps
Claimant Lawyers(s): C. Edward Hartman
Respondent(s): Joseph Giordano, Capital Investment Group.
Respondent Lawyers(s): J. Anthony Penry, Joseph A. Giordano
Arbitrator(s): Mary E. Woytek, Jason William Gaarder, Brian Charles Parker
Hearing Site: Baltimore, MD
| | $30,300 |
| 12-01317 | 01/07/2014 | Claimant(s): Jay Gloede
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ameriprise Financial Services., Paul Pelikan
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): M. Michael Cramer, Mona Koppel Mitnick, Peter H. Goldberg
Hearing Site: Baltimore, MD
| | Expungement |
| 12-01361 | 01/02/2014 | Claimant(s): Frank Goldstein
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Douglas Earl McLaren, Steven Irving Platt, Edward Alexander Jaffe
Hearing Site: Baltimore, MD
| | Expungement |
| 13-00053 | 11/21/2013 | Claimant(s): Charles Fisher IRA
Claimant Lawyers(s): Charles Fisher
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Kristine R. Lucas
Arbitrator(s): Wilbert H. Luck
Hearing Site: Baltimore, MD
| | $0 |
| 12-01040 | 10/10/2013 | Claimant(s): Matthew Garagusi
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Samuel A. Alward, John Joseph Hentschel, CRE, MAI, FRICS
Hearing Site: Baltimore, MD
| | Expungement |
| 12-02497 | 09/19/2013 | Claimant(s): James Halusky
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | Expungement |
