| 18-01094 | 04/03/2019 | Claimant(s): Veralynn Starostecki
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 18-00180 | 03/28/2019 | Claimant(s): Donna Elder
Claimant Lawyers(s): Stephen C. Leckar
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marilyn Ginger McCauley
Arbitrator(s): Bonnie K. Wachtel, Barbara Davis Solomon, Shelley Simons Korch
Hearing Site: Washington, DC
| | |
| 18-02884 | 03/27/2019 | Claimant(s): William Portugal
Claimant Lawyers(s): William Portugal
Respondent(s): Roshan Loungani, Arete Wealth Management.
Respondent Lawyers(s): UnBo (Bob) Chung
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
|  | Expungement |
| 18-00817 | 03/06/2019 | Claimant(s): Eric Candelori
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Marni E. Byrum
Hearing Site: Washington, DC
| | |
| 18-02073 | 02/27/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): Derrick Robinson
Respondent Lawyers(s): Tosh Grebenik
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
| | |
| 18-01846 | 02/07/2019 | Claimant(s): Anna Bjornson, Steven Bjornson
Claimant Lawyers(s): Anna Bjornson, Steven Bjornson
Respondent(s): Gary Gallagher, Voya Financial Advisors.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | Expungement |
| 18-02614 | 01/30/2019 | Claimant(s): Lewis Baker
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): Dave Hauer
Arbitrator(s): Barbara Davis Solomon
Hearing Site: Washington, DC
| | |
| 18-01896 | 12/03/2018 | Claimant(s): William Blake
Claimant Lawyers(s): John R. Snyder
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Sarah K. Yates
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | |
| 18-01497 | 11/20/2018 | Claimant(s): Mick Dadlani
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David Hantman
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 18-00134 | 11/02/2018 | Claimant(s): Marc Schliefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Kyle Osting
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
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