| 09-04672 | 05/19/2010 | Claimant(s): Ian Knight, Ian Knight Individual Retirement Account, Ian Knight SEP IRA
Claimant Lawyers(s): Arthur M Schwartzstein
Respondent(s): Frank Shull, Lara, Shull & May
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Louis Nebel, June White Dillard, Shelley Simons Korch
Hearing Site: Washington, DC
|  | $65,000 |
| 08-02871 | 07/17/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): John Andrews
Respondent Lawyers(s): John Andrews
Arbitrator(s): Louis Nebel, Anne Q. Uno, Baunita M. Greer
Hearing Site: Washington, DC
| | |
| 07-03612 | 09/23/2008 | Claimant(s): Adol Owen-Williams
Claimant Lawyers(s): James F. Shalleck
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Alan L. Briggs
Arbitrator(s): Theodore W. Urban, Louis Nebel, Merle D. Rockwell
Hearing Site: Washington, DC
| | |
| 03-08225 | 09/05/2007 | Claimant(s): Jeff Karnes, Jeremy Voye, Sarah Hedges
Claimant Lawyers(s): Amir H. Tadjedin
Respondent(s): Citigroup Global Markets., Jack Grubman, Kevin Keating
Respondent Lawyers(s): Nancy E. Nunan
Arbitrator(s): Marshall Passman, Louis Nebel
Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
