| 14-01691 | 01/09/2015 | Claimant(s): Securities Investor Protection Corp.
Claimant Lawyers(s): Hemant Sharma
Respondent(s): Joan Perry, Take Charge Financial
Respondent Lawyers(s): Joan A. Perry, Joan Anne Perry
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
|  | $100,000 |
| 14-01242 | 12/31/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachel Carp
Respondent(s): Joshua Krieg
Respondent Lawyers(s): Joshua T. Krieg
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | |
| 13-00612 | 10/21/2014 | Claimant(s): Kerry Edwards
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins, Jeffrey K. Compton
Arbitrator(s): Caryl S. Bernstein, Peter H. Goldberg, Karla Jayne Letsche
Hearing Site: Washington, DC
| | $100,250 |
| 14-01042 | 10/16/2014 | Claimant(s): Dawn Bennett
Claimant Lawyers(s): David E. Robbins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gretchen L. Klebasko
Arbitrator(s): Henry G. Plaster, Susan A. Mathews, Jane C. Carney
Hearing Site: Washington, DC
| | |
| 13-02499 | 08/21/2014 | Claimant(s): Amy Daniels and Wayne Daniels Joint Tena
Claimant Lawyers(s): Todd H. Lahr
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Bonnie K. Wachtel, Douglas Earl McLaren, Jean Schepers
Hearing Site: Washington, DC
| | $0 |
| 12-02268 | 07/31/2014 | Claimant(s): Joanna Lyon, Ray Lyon
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Douglas Earl McLaren, Jonathan K. Tycko, Jane A. Smith
Hearing Site: Washington, DC
| | Expungement |
| 12-02701 | 07/18/2014 | Claimant(s): Ivan Venuchekov, Ivan S. Venuchekov, trustee J.Simon 9/02, trustee P.Simon 4/87
Claimant Lawyers(s): John P. Connolly
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel Everest
Arbitrator(s): Arthur J. Wilson, Stephan Paul Carrier, Shelley Simons Korch
Hearing Site: Washington, DC
| | Expungement |
| 13-00664 | 05/12/2014 | Claimant(s): Hillcrest Children's Center, Hillcrest Funding
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): Mary E. Woytek, Paul Davis Pearlstein, Armand Philip Lione
Hearing Site: Washington, DC
| | $750,000 |
| 13-00467 | 04/07/2014 | Claimant(s): John Crowley, Lamia Crowley
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Paul Davis Pearlstein, Geoffrey A. Drucker, Shelley Simons Korch
Hearing Site: Washington, DC
| | $200,000 |
| 12-03153 | 03/21/2014 | Claimant(s): D. Seline
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Michael Wolf, Kelli J. Jareaux, David Paul Clark
Hearing Site: Washington, DC
| | Expungement |
