| 20-03546 | 08/11/2021 | Claimant(s): James Segal
Claimant Lawyers(s): Michael P. Shaw
Respondent(s): Cambridge Investment Research.L Financial LLC
Respondent Lawyers(s): Richard H. Kuhlman, Sara B. Davis
Arbitrator(s): C Gregory Ellison, David L. Ruderman
Hearing Site: Baltimore, MD
| | |
| 20-03558 | 06/10/2021 | Claimant(s): Lincoln Financial Securities Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jason Fekete
Respondent Lawyers(s): Jason M. Fekete
Arbitrator(s): C Gregory Ellison, Gregory Hunter Mathews, Geoffrey A. Drucker
Hearing Site: Norfolk, VA
| | |
| 12-03886 | 03/30/2015 | Claimant(s): Evelyn Cartrette
Claimant Lawyers(s): Evelyn Faye Cartrette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sergio Galindo
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): C. Gregory Ellison, M. Michael Cramer, George Allen Whitehouse
Hearing Site: Baltimore, MD
|  | Expungement |
| 14-00147 | 03/04/2015 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): Frank Sliwinski
Respondent Lawyers(s): Frank Sliwinski
Arbitrator(s): C. Gregory Ellison, Brenda J. Stovall, Tina E. Patterson
Hearing Site: Baltimore, MD
| | Expungement |
| 09-06057 | 10/31/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Wagner
Respondent Lawyers(s): Thomas P Silis
Arbitrator(s): C. Gregory Ellison, Edward Houry, Stephan Paul Carrier
Hearing Site: Washington, DC
| | |
| 10-01652 | 06/20/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): James Godsey
Respondent Lawyers(s): Gary C. Byler
Arbitrator(s): C. Gregory Ellison, Michael E. Scullin, Donita M. King
Hearing Site: Norfolk, VA
| | |
| 09-00499 | 11/15/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Kristin Koo
Respondent Lawyers(s): Kristin H. Koo
Arbitrator(s): Gerald Scher, C. Gregory Ellison, Barbara B. Franklin
Hearing Site: Washington, DC
| | $0 |
| 09-00887 | 07/24/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Callahan
Respondent Lawyers(s): William Patrick Callahan
Arbitrator(s): C. Gregory Ellison
Hearing Site: Washington, DC
| | |
| 08-02539 | 07/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Schuler
Respondent Lawyers(s): Michael Schuler
Arbitrator(s): C. Gregory Ellison, Gregory R. Banasz, Jason William Gaarder
Hearing Site: Baltimore, MD
| | |
| 06-04375 | 09/10/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Davis Estes
Respondent Lawyers(s): Davis Allen Estes
Arbitrator(s): Clarence Jordan Ball, C. Gregory Ellison, Christian Peter Cimmino
Hearing Site: Richmond, VA
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