| 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 |
| 12-03412 | 03/31/2014 | Claimant(s): Albert Clark, Victoria Clark
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Peter Maller, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Schaffner
Arbitrator(s): Thomas B. Corey, Samuel A. Alward, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 12-02784 | 01/21/2014 | Claimant(s): William Phipps
Claimant Lawyers(s): C. Edward Hartman
Respondent(s): Joseph Giordano, Capital Investment Group.
Respondent Lawyers(s): J. Anthony Penry, Joseph A. Giordano
Arbitrator(s): Mary E. Woytek, Jason William Gaarder, Brian Charles Parker
Hearing Site: Baltimore, MD
| | $30,300 |
| 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 |
