| 13-02047 | 06/10/2015 | Claimant(s): Linnea Sams, Linnea B. Sams Revocable Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): National Securities Corporation, Louis Rogers
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert S. Zuckerman, Donald B. Katz, Michael Andrew Glasser
Hearing Site: Norfolk, VA
|  | Expungement |
| 14-02325 | 05/15/2015 | Claimant(s): Donna Alessio
Claimant Lawyers(s): Donna J. Alessio
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Kortney Farmer
Arbitrator(s): Edward R. Hipp, Henry G. Plaster, Harry J. Haynsworth
Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
| 13-03335 | 01/07/2015 | Claimant(s): Lucille Saunders
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Anderson & Strudwickorporated
Respondent Lawyers(s): Wilburn Doyle
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Norfolk, VA
| | $0 |
| 13-01847 | 07/02/2014 | Claimant(s): Esther Huie, Richard Huie
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Mark Harrop, Investors Capital Corp.
Respondent Lawyers(s): Thomas G. Nicholson
Arbitrator(s): Henry G. Plaster, Donita M. King, Ross E. Legum
Hearing Site: Norfolk, VA
| | $36,000 |
| 10-05018 | 02/16/2012 | Claimant(s): Cheryl Lisa Gibson
Claimant Lawyers(s): Julia A. Epps
Respondent(s): Ameriprise Financial Services., Robert Yeh
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Maurice R. Dunie
Hearing Site: Norfolk, VA
| | $0 |
| 10-02564 | 05/10/2011 | Claimant(s): Pandora Lupino
Claimant Lawyers(s): Theresa L Joseph
Respondent(s): Brian Krovic
Respondent Lawyers(s): Brian Krovic
Arbitrator(s): Robert Charkovsky
Hearing Site: Norfolk, VA
| | $2,500 |
| 10-00181 | 07/19/2010 | Claimant(s): Hintze Family Revocable Living Trust
Claimant Lawyers(s): Ronald M. Hintze
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Janice L. Burnham
Hearing Site: Norfolk, VA
| | $25,425 |
| 09-01078 | 09/15/2009 | Claimant(s): Elaine Lustig
Claimant Lawyers(s): Elaine B. Lustig
Respondent(s): Barry Pollara, UBS Financial Services Inc., Linda Inman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael H. McConihe
Hearing Site: Norfolk, VA
| | $1,510 |
| 06-03921 | 12/18/2007 | Claimant(s): Sharon Opfer
Claimant Lawyers(s): Benjamin R. Prell
Respondent(s): LifeMark Securities Corp.
Respondent Lawyers(s): Edwin M. Larkin
Arbitrator(s): William R. Waddell, Jack Rephan, James Tyler Pugh
Hearing Site: Norfolk, VA
| | $0 |
| 06-02362 | 09/05/2007 | Claimant(s): Ruth Barden-Whitlow
Claimant Lawyers(s): Gregory S. Larsen
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Gordon F. Linke, Henry G. Plaster, Marvin P. Pastel
Hearing Site: Norfolk, VA
| | $42,000 |
