| 17-00353 | 06/19/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Brandon Mink
Respondent Lawyers(s): Michelle Atlas
Arbitrator(s): Mona Koppel Mitnick, Robert Michael O'Brien, Jeri Kaylene Somers
Hearing Site: Washington, DC
| | |
| 18-02907 | 05/30/2019 | Claimant(s): Derrick Robinson
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | |
| 17-00778 | 04/13/2018 | Claimant(s): Mark Speck, Tonya Speck
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Mary E. Woytek, Mona Koppel Mitnick, Christopher M. McMurray
Hearing Site: Washington, DC
|  | $0 |
| 15-00504 | 09/28/2015 | Claimant(s): Kathleen McCue, Kathleen F. McCue o/b/o IRA
Claimant Lawyers(s): Marvin L. Szymkowicz
Respondent(s): Dennis Cambal, Geoffrey Cambal, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | $300 |
| 15-00525 | 09/16/2015 | Claimant(s): Sharespost Financial Corporation
Claimant Lawyers(s): William Yeung
Respondent(s): Neil Davis
Respondent Lawyers(s): Neil Davis
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Baltimore, MD
| | $0 |
| 13-02584 | 01/29/2015 | Claimant(s): Tae M. Kim and Young J. Kim
Claimant Lawyers(s): Tae M. Kim
Respondent(s): TD Ameritrade., Investrade Discount Sec. aka Regal Sec.
Respondent Lawyers(s): James J. Vihstadt, Nicholas P. Iavarone
Arbitrator(s): Ezio E. Borchini, Mona Koppel Mitnick, Catherine Esther Bocskor
Hearing Site: Baltimore, MD
| | $0 |
| 12-04176 | 05/23/2014 | Claimant(s): John Troutman
Claimant Lawyers(s): Rebecca S. LeGrand
Respondent(s): Anthony Lubrano, Joseph Alagna, Keith Michelfelder, Philip Goodman, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Amit Shah
Arbitrator(s): Janet Thomas Johnson, Mona Koppel Mitnick, John Stuart Graham
Hearing Site: Baltimore, MD
| | $702,037 |
| 12-01317 | 01/07/2014 | Claimant(s): Jay Gloede
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ameriprise Financial Services., Paul Pelikan
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): M. Michael Cramer, Mona Koppel Mitnick, Peter H. Goldberg
Hearing Site: Baltimore, MD
| | Expungement |
| 11-02856 | 01/31/2013 | Claimant(s): Phillip Korff
Claimant Lawyers(s): Eliot Goldstein
Respondent(s): The Investment Center.
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Mona Koppel Mitnick, Christopher M. McMurray, David Paul Clark
Hearing Site: Washington, DC
| | $0 |
| 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 |
