| 16-03301 | 10/20/2017 | Claimant(s): Charles Koontz
Claimant Lawyers(s): Clinton Barkdoll
Respondent(s): Bernice Schick, David Holman, Don Coldsmith, Nelson Hoachlander, Edward Jones, Randall Koontz
Respondent Lawyers(s): Alexandra M. Sipe, Bernice Schick, Daniel J. Donovan, Nelson L. Hoachlander
Arbitrator(s): John H Adair, Laura A. Kaster, Thomas James Hirsch
Hearing Site: Baltimore, MD
|  | $34,011 |
| 16-03009 | 10/18/2017 | Claimant(s): Elizabeth Gallucci
Claimant Lawyers(s): Dennis Boyle
Respondent(s): Frank Kelly, HD Vest Investment Services
Respondent Lawyers(s): Rob Moses
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | $0 |
| 16-03667 | 09/27/2017 | Claimant(s): Laimutis Prascus
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Midamerica Financial Services.
Respondent Lawyers(s): Bruce Deemer
Arbitrator(s): Steven T. Stern
Hearing Site: Baltimore, MD
| | |
| 17-00446 | 09/14/2017 | Claimant(s): Theodore Waters Iii
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): William J. Hirsch
Hearing Site: Baltimore, MD
| | |
| 15-00543 | 09/13/2017 | Claimant(s): Gary Padussis
Claimant Lawyers(s): Edward P. McDermott
Respondent(s): Richard Horn
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): David Paul Clark, Steven Irving Platt, Jonathan David Rogers
Hearing Site: Baltimore, MD
| | |
| 16-00678 | 08/25/2017 | Claimant(s): Becky Lynch
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): David Paul Clark, John David Morgan, Bruce Burr McElvein
Hearing Site: Baltimore, MD
| | |
| 17-00865 | 08/17/2017 | Claimant(s): Howard Mirvis
Claimant Lawyers(s): Dana Sirkis Gloor
Respondent(s): Legg Mason Investor Services
Respondent Lawyers(s): Gretchen Klebasko
Arbitrator(s): Vicky L. Orem
Hearing Site: Baltimore, MD
| | |
| 15-02046 | 07/21/2017 | Claimant(s): Harold Garner, Shirley Garner
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Ameriprise Financial Services., Michael Sommerfield
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Douglas Earl McLaren, Christopher M. McMurray, Eric Erdheim
Hearing Site: Baltimore, MD
| | Expungement |
| 16-02819 | 01/26/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): J. Burke McCormick
Respondent(s): Patrick Moriarty
Respondent Lawyers(s): Patrick Joseph Moriarty
Arbitrator(s): Tina E. Patterson
Hearing Site: Baltimore, MD
| | |
| 16-00666 | 01/09/2017 | Claimant(s): Cynthia Strini
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Labron Toles, Philip Dina, Silva Velez
Respondent Lawyers(s): Labron Manosa Toles, Philip A. Dina, Silva Alexander Velez
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $24,574 |
