| 19-01756 | 01/29/2020 | Claimant(s): Steven Goldberg
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Vidya A. Mirmira
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
| | |
| 18-03809 | 08/22/2019 | Claimant(s): Ashley Pagartanis
Claimant Lawyers(s): Ashley Pagartanis
Respondent(s): Lombard Securities Incorporated
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Brenda J. Stovall, Steven Irving Platt, George Thomas Doran
Hearing Site: Baltimore, MD
| | |
| 18-00816 | 07/09/2019 | Claimant(s): James McCrory
Claimant Lawyers(s): John H. West
Respondent(s): RBC Capital Markets LLC, Thomas McCrory
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Steven Irving Platt, Jonathan David Rogers, Andrew Eliot Finkel
Hearing Site: Baltimore, MD
| | |
| 18-03193 | 04/25/2019 | Claimant(s): Junfeng Song
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group., Ameritas Investment Corp.
Respondent Lawyers(s): Andrea Snowden, Edward Zusman
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
|  | Expungement |
| 17-03122 | 05/14/2018 | Claimant(s): James Biggar, Thomas Graham
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): AXA Advisors
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
| | |
| 15-00543 | 09/13/2017 | Claimant(s): Gary Padussis
Claimant Lawyers(s): Edward P. McDermott
Respondent(s): Richard Horn
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): David Paul Clark, Steven Irving Platt, Jonathan David Rogers
Hearing Site: Baltimore, MD
| | |
| 15-00164 | 05/11/2016 | Claimant(s): Oscar Artola
Claimant Lawyers(s): Oscar A. Artola
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Nolan
Arbitrator(s): James M. Rhodes, Steven Irving Platt, James Drew Butler
Hearing Site: Baltimore, MD
| | |
| 12-01361 | 01/02/2014 | Claimant(s): Frank Goldstein
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Douglas Earl McLaren, Steven Irving Platt, Edward Alexander Jaffe
Hearing Site: Baltimore, MD
| | Expungement |
| 11-03974 | 09/25/2012 | Claimant(s): Bethel A.M.E. Church.
Claimant Lawyers(s): William S. Heyman
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regin P. Martorana
Arbitrator(s): Richard E. Lauziere, Sandra Lee Dolan, Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
