| 14-01797 | 06/14/2017 | Claimant(s): Fulcrum Advisory Services, Fulcrum Securities
Claimant Lawyers(s): Gregory A. Friedman, Michelle L. Carey
Respondent(s): Brian Bloxom, Donald Megliola, Lindsay Snyder, Meredith Hazen, Michael Kissinger, Cambridge Investment Research., Sunrise Wealth Partners
Respondent Lawyers(s): John P. Connolly, Miles Jarrad Wright, Pat S. Conti, Robert C. Nagle
Arbitrator(s): Mary E. Woytek, Susan A. Mathews, Leslie Trager
Hearing Site: Washington, DC
| | |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
|  | $0 |
| 16-02570 | 05/09/2017 | Claimant(s): Mariann Miller
Claimant Lawyers(s): Mariann Brand Miller
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
| | |
| 16-00314 | 03/07/2017 | Claimant(s): Beverly Carroll
Claimant Lawyers(s): Robert A.W. Boraks
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): David J. Sensenig
Arbitrator(s): Christopher M. McMurray, Michael R. Snow, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 16-02523 | 02/28/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher M. Rodriguez
Respondent(s): Omer Ali-Taha
Respondent Lawyers(s): Omer Mohamed Ali-Taha
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 15-01466 | 01/25/2017 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Jason Meil
Respondent Lawyers(s): Jason T. Meil
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 15-01561 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Beverly Carroll
Respondent Lawyers(s): Robert A. W. Boraks
Arbitrator(s): James R. Stirn
Hearing Site: Washington, DC
| | |
| 15-02399 | 11/21/2016 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Joseph Perta
Respondent Lawyers(s): David Lee
Arbitrator(s): Nancy E. Watters, Lisa Blunk Johnson, Glenn Hiram Stephens
Hearing Site: Washington, DC
| | |
| 15-00343 | 08/19/2016 | Claimant(s): Richard D. Wieboldt & Linda D. Wieboldt
Claimant Lawyers(s): Scott Greco
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Janet Stern Solomon, Arthur J. Salzberg, Judith B. Ittig
Hearing Site: Washington, DC
| | Expungement |
| 15-00443 | 07/11/2016 | Claimant(s): Barbara Bond, Roger Bond, Barbara J. Bond IRA, Roger K. Bond IRA, Barbara J. Bond Trust dtd 10/23/2006, Roger K. Bond Trust dtd 10/23/2006
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Frederick Baerenz
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Mary E. Woytek, Emily Eiselman Hunter, Walter Peterson
Hearing Site: Washington, DC
| | $331,000 |
