| 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
| | |
| 12-03613 | 04/11/2013 | Claimant(s): Linda Russell, The Estate of Richard L. Russell
Claimant Lawyers(s): Wendell V. Courtney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jim Geiger
Hearing Site: Baltimore, MD
| | Stipulated Award |
| 11-01715 | 04/10/2013 | Claimant(s): Constance Poussard
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Joseph A. Kenary, Robert T. Reeves, John L. Woods
Hearing Site: Baltimore, MD
| | Expungement |
| 11-02327 | 03/14/2013 | Claimant(s): Dorothy Burhans, Winslow Burhans, A Testamentary TR ENT Share B
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): Richard E. Lauziere, Vicky L. Orem, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | Expungement |
| 12-02028 | 02/25/2013 | Claimant(s): Joan McGill, Peter McGill
Claimant Lawyers(s): Peter R. McGill
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | $0 |
| 12-00292 | 01/10/2013 | Claimant(s): Lottie Perkins
Claimant Lawyers(s): David A. Perkins
Respondent(s): Kevin Goodman, Robert Alderman, Chapin, Davis
Respondent Lawyers(s): Kenton E. Knickmeyer
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Baltimore, MD
| | $0 |
| 10-04724 | 12/13/2012 | Claimant(s): Michael Levy and Paula Levy
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): Patrick Sean Dolan, Timothy J. Moore, Gerald B. Marcovsky
Hearing Site: Baltimore, MD
| | Expungement |
| 11-04009 | 11/27/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Wells Fargo Advisors Financial Network, Ellen Boyce
Respondent Lawyers(s): Jordan D. Becker, Thomas Bradford Lewis
Arbitrator(s): Maurice R. Dunie, Ezio E. Borchini, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | |
