| 13-01300 | 03/19/2014 | Claimant(s): Marlene Hurley
Claimant Lawyers(s): Maggie O'Donnell
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Steven R. Bralove, David Paul Clark, Robert Field
Hearing Site: Washington, DC
|  | $0 |
| 13-01153 | 02/25/2014 | Claimant(s): Joseph Cullen
Claimant Lawyers(s): Joseph Cullen
Respondent(s): Janice Suutala, Thrivent Investment Management Inc.
Respondent Lawyers(s): Peter J. Bado
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC
| | |
| 13-00674 | 01/30/2014 | Claimant(s): Marie Piskorz
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): J.W. Korth & Company
Respondent Lawyers(s): Robert Wayne Pearce
Arbitrator(s): June White Dillard
Hearing Site: Washington, DC
| | Expungement |
| 12-03894 | 01/30/2014 | Claimant(s): Carrie Devorah, Carrie Devorah IRA, Carrie Devorah Living Trust
Claimant Lawyers(s): Michael P. Marsalese
Respondent(s): Dawn Bennett, Bennett Group Financial Services LLC, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Edward M. Statland, Susan A. Mathews, T.S.L. Perlman
Hearing Site: Washington, DC
| | $0 |
| 12-02723 | 12/04/2013 | Claimant(s): Deborah Mellis
Claimant Lawyers(s): Stephen G. Cochran
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Emily Eiselman Hunter
Hearing Site: Washington, DC
| | |
| 13-00650 | 11/06/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Brian Kilgallon
Respondent Lawyers(s): Brian Michael Kilgallon
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 13-00475 | 11/01/2013 | Claimant(s): Juan Ona
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jordan D. Maglich
Arbitrator(s): Emily Eiselman Hunter, Judith B. Ittig, Gerald B. Marcovsky
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 13-00024 | 10/28/2013 | Claimant(s): Patricia Armstrong
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Raymond James Financial Services., Morgan Stanley & Co.
Respondent Lawyers(s): Terrence A. Bostic, William A. Hohauser
Arbitrator(s): Douglas Earl McLaren, Joyce A. Mitchell, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 12-04199 | 09/20/2013 | Claimant(s): Seijin Jeong
Claimant Lawyers(s): Seijin Jeong
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | $0 |
| 13-00069 | 08/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Ali Qureshi
Respondent Lawyers(s): Ali Kamran Qureshi
Arbitrator(s): Henry G. Plaster
Hearing Site: Washington, DC
| | |
