| 13-00992 | 11/21/2013 | Claimant(s): Charles Ward
Claimant Lawyers(s): Rebecca E. Swenson
Respondent(s): Helen Ward, John Ward, UBS Financial Services Inc., Lea Ward
Respondent Lawyers(s): Helen Ward, John P. Ward, Lea C. Ward, Rebecca E. Swenson
Arbitrator(s): Richard E. Lauziere, Brenda J. Stovall, Jason William Gaarder
Hearing Site: Baltimore, MD
| | Expungement |
| 10-03698 | 12/14/2011 | Claimant(s): James Heiser, Joan Heiser
Claimant Lawyers(s): James H. West
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Donald R. Giacomelli, June White Dillard, Brenda J. Stovall
Hearing Site: Baltimore, MD
|  | $116,967 |
| 09-01364 | 08/25/2011 | Claimant(s): Debra Swann
Claimant Lawyers(s): Debra Swann
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): M. Michael Cramer, Brenda J. Stovall, Evelyn D. Pisegna-Cook
Hearing Site: Baltimore, MD
| | $30,000 |
| 09-05641 | 03/18/2011 | Claimant(s): Andrew Michalak
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Salvatore Capizzi, Sewell Frey, American Investors Company, Dunham & Associates Investment Counsel, Dunham Trust Company
Respondent Lawyers(s): Joseph D. Edmondson, Stephen B. Stern, Theodore C. Peters
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $2,702,800 |
| 07-01364 | 07/14/2008 | Claimant(s): Garland O. and Antoinette P. Williamson
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Stanley Laman Group Securities
Respondent Lawyers(s): William G. Stanley
Arbitrator(s): William P. Borduin, Brenda J. Stovall, Thomas E. Maloney
Hearing Site: Baltimore, MD
| | Stipulated Award and Expungement |
