12-01361 | 01/02/2014 | Claimant(s): Frank Goldstein Claimant Lawyers(s): Benjamin Lapin Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Andrea Morgan Greene Arbitrator(s): Douglas Earl McLaren, Steven Irving Platt, Edward Alexander Jaffe Hearing Site: Baltimore, MD
| | Expungement |
13-00992 | 11/21/2013 | Claimant(s): Charles Ward Claimant Lawyers(s): Rebecca E. Swenson Respondent(s): Helen Ward, John Ward, UBS Financial Services Inc., Lea Ward Respondent Lawyers(s): Helen Ward, John P. Ward, Lea C. Ward, Rebecca E. Swenson Arbitrator(s): Richard E. Lauziere, Brenda J. Stovall, Jason William Gaarder Hearing Site: Baltimore, MD
| | Expungement |
13-00053 | 11/21/2013 | Claimant(s): Charles Fisher IRA Claimant Lawyers(s): Charles Fisher Respondent(s): National Planning Corporation Respondent Lawyers(s): Kristine R. Lucas Arbitrator(s): Wilbert H. Luck Hearing Site: Baltimore, MD
| | $0 |
13-01177 | 11/01/2013 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Robert Deane Respondent Lawyers(s): Robert Searles Deane Arbitrator(s): Tina E. Patterson Hearing Site: Baltimore, MD
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12-01040 | 10/10/2013 | Claimant(s): Matthew Garagusi Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David G. Smitham Arbitrator(s): Jim Geiger, Samuel A. Alward, John Joseph Hentschel, CRE, MAI, FRICS Hearing Site: Baltimore, MD
| | Expungement |
12-02497 | 09/19/2013 | Claimant(s): James Halusky Claimant Lawyers(s): Christopher J. Gray Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Douglas Earl McLaren Hearing Site: Baltimore, MD
| | Expungement |
13-00055 | 09/04/2013 | Claimant(s): Thomas Howes Claimant Lawyers(s): Thomas W. Howes Respondent(s): Morgan Stanley Respondent Lawyers(s): Susan Poder MacFarlane Arbitrator(s): Margaret Mary Crumley, Lynn Carole Bellamy, John David Morgan Hearing Site: Baltimore, MD
| | Expungement |
11-03725 | 06/18/2013 | Claimant(s): Laurent La Brie Claimant Lawyers(s): Andrew L. Jiranek Respondent(s): TD Ameritrade., Scott Cornett Respondent Lawyers(s): Hollie M. Mason Arbitrator(s): Douglas Earl McLaren Hearing Site: Baltimore, MD
| | $0 |
11-03288 | 06/13/2013 | Claimant(s): Robert E. Faust & Beverley Faust Claimant Lawyers(s): Neil W. Yahn Respondent(s): Christopher Sabatino, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Frederic G. Antoun, Regina P. Martorana Arbitrator(s): Sandra Lee Dolan, Joan M. Smith, Stephan Paul Carrier Hearing Site: Baltimore, MD
| | Expungement |
12-03686 | 05/24/2013 | Claimant(s): Lisa Fulco Claimant Lawyers(s): Lisa A Fulco Respondent(s): Banc of America Investment Services Inc., Metlife Securities Inc. Respondent Lawyers(s): Bruce M. Steen, Martin Harris Arbitrator(s): Christopher M. McMurray Hearing Site: Baltimore, MD
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