| 19-01097 | 02/13/2020 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Alexys Mckenzie, Janet Bentley-Ewers, Joquinn Sadler, Raymond, James & Associates., IFS Securities
Respondent Lawyers(s): Brandy N. Pikus, Richard E. Brodsky
Arbitrator(s): Steven R. Bralove, Joyce A. Mitchell, Barbara Hill Bink
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206/12504 |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 13-01300 | 03/19/2014 | Claimant(s): Marlene Hurley
Claimant Lawyers(s): Maggie O'Donnell
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Steven R. Bralove, David Paul Clark, Robert Field
Hearing Site: Washington, DC
| | $0 |
| 12-01131 | 03/20/2013 | Claimant(s): Peter Hans, Scott Doyle
Claimant Lawyers(s): Robert R. Vieth
Respondent(s): FBR Capital Markets & Co.
Respondent Lawyers(s): Paul J. Kennedy
Arbitrator(s): Steven R. Bralove, Michael Wolf, Christopher M. McMurray
Hearing Site: Washington, DC
| | |
| 09-05127 | 05/03/2010 | Claimant(s): Judith Polk-Sebring
Claimant Lawyers(s): Randall C. Place
Respondent(s): Steven Lockshin, City National Securities.
Respondent Lawyers(s): Matthew A. Eisenstein
Arbitrator(s): Steven R. Bralove, Douglas Earl McLaren, Joseph O'Donnell
Hearing Site: Washington, DC
| | Expungement |
| 08-04225 | 10/27/2009 | Claimant(s): Almas Temple A.A.O.N.M.S.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): M&T Securities.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Steven R. Bralove, Michael J. Henke, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
