| 09-03464 | 03/14/2012 | Claimant(s): Ora Hodges, Paul Kay
Claimant Lawyers(s): Ora Hodges
Respondent(s): James Kujawski, Morgan Stanley & Co., Kristin Long, Morgan Stanley Smith Barney
Respondent Lawyers(s): Christopher Wilson, James A. Kujawski, Kristin G. Long
Arbitrator(s): William H. Malloy, Nickey D. Turner, William Stephen McGee
Hearing Site: Washington, DC
|  | Expungement |
| 11-01531 | 02/16/2012 | Claimant(s): Lawrence Glaser, Benjamin Glaser, Erin Glaser, Hannah Glaser, Kimberly Glaser
Claimant Lawyers(s): Simon Kogan
Respondent(s): Edmund Stephan, Jonathan Legg, Morgan Stanley & Co.
Respondent Lawyers(s): Edmund Stephan, Joseph C. Coates
Arbitrator(s): Louis Paul Sitnik, Joyce A. Mitchell, Mark R. Joelson
Hearing Site: Washington, DC
| | Expungement |
| 11-03127 | 01/31/2012 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Timothy J. McEvoy
Respondent(s): Eric Skigen
Respondent Lawyers(s): Eric Scott Skigen
Arbitrator(s): Michael H. McConihe
Hearing Site: Washington, DC
| | |
| 11-02228 | 01/20/2012 | Claimant(s): William Brandt
Claimant Lawyers(s): William H. Brandt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael H. McConihe, Robert Charkovsky, Larry E. Ray
Hearing Site: Washington, DC
| | $0 |
| 09-06592 | 12/09/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Flaherty
Respondent Lawyers(s): Matthew LeFande
Arbitrator(s): Michael Wolf, Kermit C. Zieg, Richard Charles Hotvedt
Hearing Site: Washington, DC
| | |
| 09-06057 | 10/31/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Wagner
Respondent Lawyers(s): Thomas P Silis
Arbitrator(s): C. Gregory Ellison, Edward Houry, Stephan Paul Carrier
Hearing Site: Washington, DC
| | |
| 10-04689 | 09/27/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Justin Barch
Respondent Lawyers(s): Justin R. Barch
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC
| | |
| 10-00365 | 08/29/2011 | Claimant(s): Peter O'Rourke
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Anthony Salino, Felix Roman, Mercer Capital Ltd.
Respondent Lawyers(s): Brian Reis, Felix Roman
Arbitrator(s): Marvin Elster
Hearing Site: Washington, DC
| | $4,000 |
| 09-06590 | 08/02/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Franklin Hill
Respondent Lawyers(s): Franklin Hill
Arbitrator(s): Merle D. Rockwell, Yvette C. Hatfield, Gene E. Godley
Hearing Site: Washington, DC
| | |
| 09-05498 | 07/29/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Todd Feldman
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Edward M. Statland, E. William Pastor, Robert Vaughan Cornish
Hearing Site: Washington, DC
| | |
