23-00052 | 12/04/2023 | Claimant(s): Wallace Suku Claimant Lawyers(s): Wallace W. Suku Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Richard E. Lauziere, Peter H. Goldberg, Ronald Kalungi Hearing Site: Washington, DC
| | $0 |
20-01787 | 08/23/2021 | Claimant(s): Allison Walk, Stephen Walk Claimant Lawyers(s): Samuel B. Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye Hearing Site: Baltimore, MD
| | $405,000 |
18-04133 | 12/12/2019 | Claimant(s): James Walter Claimant Lawyers(s): James L. Kauffman Respondent(s): Cambridge Investment Research., Equity Concepts Respondent Lawyers(s): Todd Ratner Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg Hearing Site: Richmond, VA
| | $0 |
18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger Claimant Lawyers(s): James L Kauffman Respondent(s): Cambridge Investment Research., Equity Concepts Respondent Lawyers(s): Todd Ratner Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg Hearing Site: Richmond, VA
| | $0 |
18-01147 | 10/10/2019 | Claimant(s): Virginia Transfomer., Prabhat Jain, Santosh Jain Claimant Lawyers(s): David E. Robbins Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Elliot B. Platt, Donita M. King, Peter H. Goldberg Hearing Site: Richmond, VA
| | $0 |
14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde Claimant Lawyers(s): Eric Quetglas-Jordan Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg Hearing Site: San Juan, PR
| | Expungement |
12-02766 | 02/17/2015 | Claimant(s): Glen Lyon Long-Term Options Claimant Lawyers(s): Robert A. Kantas Respondent(s): Interactive Brokers Llc Respondent Lawyers(s): Robert W. Topp Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg Hearing Site: Richmond, VA
| | $666,618 |
13-00612 | 10/21/2014 | Claimant(s): Kerry Edwards Claimant Lawyers(s): Thomas C. Costello Respondent(s): Dawn Bennett, Western International Securities. Respondent Lawyers(s): David E. Robbins, Jeffrey K. Compton Arbitrator(s): Caryl S. Bernstein, Peter H. Goldberg, Karla Jayne Letsche Hearing Site: Washington, DC
| | $100,250 |
13-00114 | 10/15/2014 | Claimant(s): Christine Nielson Claimant Lawyers(s): Thomas P. Willcutts Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Vicky L. Orem, Sandra Holmes, Peter H. Goldberg Hearing Site: Baltimore, MD
| | Expungement |
12-01317 | 01/07/2014 | Claimant(s): Jay Gloede Claimant Lawyers(s): Bradd L. Milove Respondent(s): Ameriprise Financial Services., Paul Pelikan Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): M. Michael Cramer, Mona Koppel Mitnick, Peter H. Goldberg Hearing Site: Baltimore, MD
| | Expungement |