| 18-03103 | 02/19/2021 | Claimant(s): Mattie M. Kelly 908 Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael H. McConihe, Peter A. Roche, Mimi Vivien Turin
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12212 |
| 12-02395 | 05/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Kenneth Burgess
Respondent Lawyers(s): Kenneth Charles Burgess
Arbitrator(s): Michael H. McConihe
Hearing Site: Washington, DC
| | |
| 11-03127 | 01/31/2012 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Timothy J. McEvoy
Respondent(s): Eric Skigen
Respondent Lawyers(s): Eric Scott Skigen
Arbitrator(s): Michael H. McConihe
Hearing Site: Washington, DC
| | |
| 11-02228 | 01/20/2012 | Claimant(s): William Brandt
Claimant Lawyers(s): William H. Brandt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael H. McConihe, Robert Charkovsky, Larry E. Ray
Hearing Site: Washington, DC
| | $0 |
| 09-05185 | 01/18/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Brent Collier
Respondent Lawyers(s): Musa L. Eubanks
Arbitrator(s): Ralph S. Blascovich, Michael H. McConihe, Mona Koppel Mitnick
Hearing Site: Washington, DC
| | |
| 09-00950 | 05/27/2010 | Claimant(s): Catalyst Health Solutions.
Claimant Lawyers(s): Bruce V. Spiva
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Albert D. Sturtevant, Michael H. McConihe, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $9,750,000 |
| 09-01078 | 09/15/2009 | Claimant(s): Elaine Lustig
Claimant Lawyers(s): Elaine B. Lustig
Respondent(s): Barry Pollara, UBS Financial Services Inc., Linda Inman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael H. McConihe
Hearing Site: Norfolk, VA
| | $1,510 |
| 08-03052 | 05/29/2009 | Claimant(s): Thomas Cusack
Claimant Lawyers(s): John P. Connolly
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mary E. Woytek, Michael H. McConihe, Wilson Thompson
Hearing Site: Washington, DC
| | $0 |
| 08-02347 | 04/02/2009 | Claimant(s): David L. Fairbairn & Leslie T. Fairbairn
Claimant Lawyers(s): Stephen D. Halfhill
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Carole Rollinson, Michael H. McConihe, Stephan Paul Carrier
Hearing Site: Washington, DC
| | $0 |
