| 21-01552 | 02/25/2022 | Claimant(s): Richard Miller
Claimant Lawyers(s): Zachary Morse
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
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| 16-02577 | 03/15/2018 | Claimant(s): Joan Provost, John Provost, JJP Associates Profit Sharing Plan, Joan T. Provost Revocable Trust
Claimant Lawyers(s): Eric G. Benson
Respondent(s): Mitchell Simkins, Richard Miller, Mid-Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Paul H. Lamboley, Edward Allan Hindman
Hearing Site: Salt Lake City, UT
|  | Expungement |
| 13-02625 | 04/08/2016 | Claimant(s): David Gilg
Claimant Lawyers(s): James J. Eccleston
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Emily J. Lewis, Richard Charles Miller, Phillip Lawrence Wright
Hearing Site: Columbus, OH
| | |
| 12-02187 | 05/23/2013 | Claimant(s): Joseph D'Amico
Claimant Lawyers(s): Emily M. Stout
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): A. John Harper
Arbitrator(s): Mark L. Williams, Maryanne M. Esser, Richard A Miller
Hearing Site: Dallas, TX
| | |
| 09-00266 | 06/25/2010 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Phil Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Henry Hermann, Richard A Miller, Darrell G. Compton
Hearing Site: Dallas, TX
| | |
| 06-05422 | 02/08/2008 | Claimant(s): Fiduciary Financial Services
Claimant Lawyers(s): John A. Koepke
Respondent(s): Mark Warner, The Masters., VSR Financial Services.
Respondent Lawyers(s): Jon M. Stanfield, Nathan J. Schwartz
Arbitrator(s): Marie A. Moore, Richard A Miller, Anita M. Jean
Hearing Site: Dallas, TX
| | |
| 06-00880 | 11/26/2007 | Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX
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