| 13-01661 | 10/27/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Francis X. Dee
Respondent(s): Gary Padussis
Respondent Lawyers(s): E. Patrick McDermott
Arbitrator(s): Maurice R. Dunie, Ezio E. Borchini, J. Snowden Stanley
Hearing Site: Baltimore, MD
| | |
| 13-00114 | 10/15/2014 | Claimant(s): Christine Nielson
Claimant Lawyers(s): Thomas P. Willcutts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Vicky L. Orem, Sandra Holmes, Peter H. Goldberg
Hearing Site: Baltimore, MD
|  | Expungement |
| 14-00741 | 09/29/2014 | Claimant(s): Darien Buinicki
Claimant Lawyers(s): Darien P. Buinicki
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Emily Eiselman Hunter
Hearing Site: Baltimore, MD
| | $300 |
| 14-00484 | 08/22/2014 | Claimant(s): Dana and Susan Goodrich
Claimant Lawyers(s): Dana C. Goodrich
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
| | $163 |
| 13-03041 | 08/08/2014 | Claimant(s): Robert E and Susan Bowers
Claimant Lawyers(s): Robert Bowers
Respondent(s): Scott Eglseder, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $4,632 |
| 14-00360 | 07/30/2014 | Claimant(s): Betty Brown
Claimant Lawyers(s): Betty Brown
Respondent(s): Andrew Lenich, Cambridge Investment Research.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Gordon M. Wase
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 |
| 12-01480 | 05/09/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Elizabeth A. Arismendy
Respondent(s): Christopher Mamunes
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | |
| 12-03523 | 05/09/2014 | Claimant(s): Sean Horrigan
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
| | |
| 12-02542 | 05/09/2014 | Claimant(s): Robert Reynolds
Claimant Lawyers(s): David J. Stone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Jim Geiger, Thomas B. Corey, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | Expungement |
