| 11-02178 | 01/08/2013 | Claimant(s): Chaiha Rhee, Diane Weeks, Gerald Chickillo, Jack Duncan, Janet Murphy, Linda Chernisky, Tonya Chickillo, RT Solutions, Estate of Wesley Weeks by Diane Weeks,
Claimant Lawyers(s): John S. Chapman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Paul Davis Pearlstein, Michael R. Snow, Jane A. Smith
Hearing Site: Washington, DC
|  | $0 |
| 11-04572 | 12/14/2012 | Claimant(s): Peter Suyama
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Glenn M. Salvo
Arbitrator(s): Nickey D. Turner, Jane C. Carney, Charles A. Zuckerman
Hearing Site: Washington, DC
| | |
| 12-01912 | 11/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Mark Stull
Respondent Lawyers(s): Mark A. Stull
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Washington, DC
| | |
| 10-01187 | 11/21/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): David H. Brodie
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Peter Meyer
Arbitrator(s): Bonnie K. Wachtel, Neil T. Treger, Lawrence M. Barnes
Hearing Site: Washington, DC
| | |
| 11-01096 | 07/31/2012 | Claimant(s): Karen Sallerson, Ronald Sallerson
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | Expungement |
| 09-00543 | 07/16/2012 | Claimant(s): Robert Sapp
Claimant Lawyers(s): James K. Barbee
Respondent(s): Howard Pinson, ING Financial Partners.
Respondent Lawyers(s): Louis H. Castoria, Shannon L. McDougald
Arbitrator(s): Bryon P. Fusini, Paul Davis Pearlstein, Robert Charkovsky
Hearing Site: Washington, DC
| | $190,000 |
| 11-01874 | 07/16/2012 | Claimant(s): Frank Steinke, Frank C. Steinke Rev. Lvg TRT UAD 8/7/07
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Nicholas D. Skaltsounis, Custodian
Arbitrator(s): Marvin Elster, Jane A. Smith, Lisa Blunk Johnson
Hearing Site: Washington, DC
| | $6,375 |
| 11-03410 | 07/12/2012 | Claimant(s): Stephen Pattison
Claimant Lawyers(s): Walter Birkel
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Merrell B. Renaud
Arbitrator(s): Paul A. Fischer, Jane C. Carney, Turna R. Lewis
Hearing Site: Washington, DC
| | |
| 11-04536 | 07/11/2012 | Claimant(s): Michelle Massie
Claimant Lawyers(s): Michelle Nicole Massie
Respondent(s): BNY Mellon Securities LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Maurice R. Dunie
Hearing Site: Washington, DC
| | $319 |
| 10-04705 | 06/29/2012 | Claimant(s): Samar Ghadry
Claimant Lawyers(s): Stephen W Nichols
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Jeremy D. Schildcrout
Arbitrator(s): Walter Peterson, Jerome Nelson, Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
