| 14-01797 | 06/14/2017 | Claimant(s): Fulcrum Advisory Services, Fulcrum Securities
Claimant Lawyers(s): Gregory A. Friedman, Michelle L. Carey
Respondent(s): Brian Bloxom, Donald Megliola, Lindsay Snyder, Meredith Hazen, Michael Kissinger, Cambridge Investment Research., Sunrise Wealth Partners
Respondent Lawyers(s): John P. Connolly, Miles Jarrad Wright, Pat S. Conti, Robert C. Nagle
Arbitrator(s): Mary E. Woytek, Susan A. Mathews, Leslie Trager
Hearing Site: Washington, DC
| | |
| 14-01042 | 10/16/2014 | Claimant(s): Dawn Bennett
Claimant Lawyers(s): David E. Robbins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gretchen L. Klebasko
Arbitrator(s): Henry G. Plaster, Susan A. Mathews, Jane C. Carney
Hearing Site: Washington, DC
| | |
| 12-03894 | 01/30/2014 | Claimant(s): Carrie Devorah, Carrie Devorah IRA, Carrie Devorah Living Trust
Claimant Lawyers(s): Michael P. Marsalese
Respondent(s): Dawn Bennett, Bennett Group Financial Services LLC, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Edward M. Statland, Susan A. Mathews, T.S.L. Perlman
Hearing Site: Washington, DC
|  | $0 |
| 08-02004 | 06/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Joseph Connor
Respondent Lawyers(s): Joseph A. Connor
Arbitrator(s): Susan A. Mathews, Baunita M. Greer, Jehangir Fuller Varzi
Hearing Site: Washington, DC
| | |
| 07-03570 | 04/09/2009 | Claimant(s): Jerome Woods, Jr. and Dana Woods
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Robert J Warner, Susan A. Mathews, J. Maxwell Williams
Hearing Site: Memphis, TN
| | $950,600 |
