| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
|  | Expungement |
| 18-04126 | 02/13/2020 | Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
| | $0 |
| 15-01981 | 04/26/2016 | Claimant(s): Thomas Cresce
Claimant Lawyers(s): Joseph T. Trapeni
Respondent(s): Kevin Beck, Stuart Youngentob, NFP Advisor Services
Respondent Lawyers(s): Kelsey Hotchkiss
Arbitrator(s): Michael J. Henke
Hearing Site: Richmond, VA
| | $0 |
| 14-03531 | 01/19/2016 | Claimant(s): Estate of Glenny B. White
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Michael J. Henke, Wesley C. Wilson, Ross E. Legum
Hearing Site: Norfolk, VA
| | $2,036,890 |
| 13-02375 | 02/19/2014 | Claimant(s): Doris Parsons, Est. of William J. Parsons by Doris N. P
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Wells Fargo Advisors, Virginia Bunton
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael J. Henke
Hearing Site: Raleigh, NC
| | $34,982 |
| 09-03990 | 08/03/2010 | Claimant(s): Kajeet.
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Michael J. Henke, Christopher M. McMurray, Barrett W. Freedlander
Hearing Site: Baltimore, MD
| | $80,800,000 |
| 09-03657 | 05/12/2010 | Claimant(s): Toshio and Chie Nakano Living Trust
Claimant Lawyers(s): Toshio Nakano
Respondent(s): Wedbush Securities Inc., Richard Lanni
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Michael J. Henke, Joan H. Palmer, Joan M. Smith
Hearing Site: Baltimore, MD
| | $107,100 |
| 08-04225 | 10/27/2009 | Claimant(s): Almas Temple A.A.O.N.M.S.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): M&T Securities.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Steven R. Bralove, Michael J. Henke, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 07-03507 | 08/31/2009 | Claimant(s): John Alltop, Lacoe Alltop, Robert Jordan
Claimant Lawyers(s): William L. Haugh
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Michael J. Henke, Jane F. Moore, Richard Jeffrey Magid
Hearing Site: Baltimore, MD
| | $375 |
| 07-01088 | 02/05/2008 | Claimant(s): Richard Oppong
Claimant Lawyers(s): Lee Boothby
Respondent(s): E*Trade Securities LLC, E*Trade Bank
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter Peterson, Michael J. Henke, Jane C. Carney
Hearing Site: Washington, DC
| | $225 |
