15-03358 | 11/16/2016 | Claimant(s): James Deitsch Claimant Lawyers(s): Mark E. Maddox Respondent(s): William Gammon, Questar Capital Corporation Respondent Lawyers(s): Jeffrey D. Hedlund, Sean M. Golden Arbitrator(s): Douglas Earl McLaren, Harvey Baum, Jane Tam Hearing Site: Baltimore, MD
| | Dismissed by Rule 12206 |
15-03254 | 10/20/2016 | Claimant(s): Mehmet Akin and Adrian Akin Claimant Lawyers(s): Mark E. Maddox Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): William M. Getzoff, Lawrence W. Arness, William Gibson Heller Hearing Site: Indianapolis, IN
| | $0 |
15-02023 | 10/19/2016 | Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jennifer R. Willey Arbitrator(s): Barbara M. Zak, Morris S. Getzels, Robert B. Hansohn Hearing Site: Las Vegas, NV
| | Expungement |
15-03072 | 07/27/2016 | Claimant(s): John Heraty IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): David Geake, Sagepoint Financial. Respondent Lawyers(s): David A. Baugh, Jodi S. Tesser Arbitrator(s): G. Gale Roberson Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
15-01834 | 03/25/2016 | Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities. Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
15-02018 | 03/22/2016 | Claimant(s): Christopher Carlson Claimant Lawyers(s): Mark E. Maddox Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): Ronald W. Sannicandro Arbitrator(s): Hearing Site: Minneapolis, MN
| | $0 |
12-03288 | 03/02/2015 | Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Tricor Financial Respondent Lawyers(s): Jeffrey S. Kob Arbitrator(s): Kelly K. Herren, Michael G. Clark, Paul E. Dahlman Hearing Site: Las Vegas, NV
| | $184,391 |
13-01672 | 07/18/2014 | Claimant(s): John Meadows, John Anthony Meadows IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Geoffrey Beckham Arbitrator(s): Paul Lansing, Stephen L. Flint, William Gibson Heller Hearing Site: Indianapolis, IN
| | $30,000 |
12-01990 | 06/03/2014 | Claimant(s): Barbara Pennington, Michael Pennington, Barbara Pennington IRA, Michael Pennington IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): LPL Financial LLC Respondent Lawyers(s): Amanda C. Hawley Arbitrator(s): David Ellis, Ruth-Ellen Post, Frederick J. Myers Hearing Site: Manchester, NH
| | Expungement |
13-02360 | 05/13/2014 | Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Proequities. Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger Hearing Site: Minneapolis, MN
| | $0 |