16-01317 | 11/07/2018 | Claimant(s): Urszula Thompson Claimant Lawyers(s): Thomas P. Kelly Respondent(s): Richard Muhlberg, Metis Advisors Respondent Lawyers(s): Alan Gilmore Arbitrator(s): Catherine Stewart, Jane Tam, Carrie L. Chelko Hearing Site: Wilmington, DE
| | $17,900 |
15-01225 | 01/06/2017 | Claimant(s): Paul & Beatrice Hessong Claimant Lawyers(s): Jennifer Tarr Respondent(s): Buda Yao, Costa Tzotzis, James Webb, Jeff Bodner, Michael Lovett, Cape Securities Inc. Respondent Lawyers(s): Judy Newcomb Arbitrator(s): David L. Ruderman, Jane Tam, Harold Craig Cohen Hearing Site: Baltimore, MD
| | $0 |
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 |
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 |