| 10-03698 | 12/14/2011 | Claimant(s): James Heiser, Joan Heiser
Claimant Lawyers(s): James H. West
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Donald R. Giacomelli, June White Dillard, Brenda J. Stovall
Hearing Site: Baltimore, MD
|  | $116,967 |
| 10-04446 | 12/09/2011 | Claimant(s): Family Trust Agr. of Olivia P. Miller
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Brian Zaid, John Cvach, Terry Reinhart
Respondent Lawyers(s): Brian Zaid, Richard J. Magid
Arbitrator(s): Jane F. Moore, John Stuart Graham, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $55,000 |
| 09-01364 | 08/25/2011 | Claimant(s): Debra Swann
Claimant Lawyers(s): Debra Swann
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): M. Michael Cramer, Brenda J. Stovall, Evelyn D. Pisegna-Cook
Hearing Site: Baltimore, MD
| | $30,000 |
| 10-00497 | 06/22/2011 | Claimant(s): Joel Kaufman, Nancy Kaufman
Claimant Lawyers(s): Joel F Kaufman
Respondent(s): Morgan Stanley, Tom Howes
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): June White Dillard
Hearing Site: Baltimore, MD
| | Expungement |
| 10-03122 | 05/13/2011 | Claimant(s): Michael D. Fulda, Michael Fulda & Rivka Fulda Ten Ent
Claimant Lawyers(s): Michael D. Fulda
Respondent(s): Avi Greenlinger, Avigail Rosemore, Morgan Stanley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): N. Clark Moran, Richard E. Lauziere, John H Adair
Hearing Site: Baltimore, MD
| | $0 |
| 09-04114 | 04/20/2011 | Claimant(s): Search Ministries.
Claimant Lawyers(s): Gary R. Long
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Herbert B. Williams
Hearing Site: Baltimore, MD
| | $0 |
| 09-05641 | 03/18/2011 | Claimant(s): Andrew Michalak
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Salvatore Capizzi, Sewell Frey, American Investors Company, Dunham & Associates Investment Counsel, Dunham Trust Company
Respondent Lawyers(s): Joseph D. Edmondson, Stephen B. Stern, Theodore C. Peters
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $2,702,800 |
| 09-04244 | 12/29/2010 | Claimant(s): Jeffrey Haugh, Linda Haugh, AAA Consulting, Mid-Atlantic Anesthesia, P.A., Jeffrey T. Haugh and Linda Haugh
Claimant Lawyers(s): Mark M. Dumler
Respondent(s): Aura Financial Services., Harvard Funding Group., Westpark Capital.
Respondent Lawyers(s): John Woodruff, Richard Kraut
Arbitrator(s): Richard E. Lauziere, Robert T. Reeves, Alan Robert Malasky
Hearing Site: Baltimore, MD
| | $585,000 |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
| | $891,856 |
| 09-04498 | 08/26/2010 | Claimant(s): James Knell, Patricia Knell, The James W. Knell Trust, The Pat Knell Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Wilbert H. Luck, Jacalyn R. Murray, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
