| 10-04075 | 10/04/2012 | Claimant(s): Cheryl Wittmann, Robert Wittmann
Claimant Lawyers(s): D. Waxton White
Respondent(s): Marilee Hill, Steven L. Falk & Associates Inc.
Respondent Lawyers(s): H. Thomas Fehn, Steven L. Falk
Arbitrator(s): Douglas Earl McLaren, Jane F. Moore, Vicky L. Orem
Hearing Site: Baltimore, MD
|  | $61,600 |
| 12-00345 | 09/25/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bryan Hall
Respondent Lawyers(s): Bryan McKinley Hall
Arbitrator(s): Jerome Nelson
Hearing Site: Baltimore, MD
| | |
| 11-03974 | 09/25/2012 | Claimant(s): Bethel A.M.E. Church.
Claimant Lawyers(s): William S. Heyman
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regin P. Martorana
Arbitrator(s): Richard E. Lauziere, Sandra Lee Dolan, Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
| 11-00566 | 08/14/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sandra Lee Dolan, Marshall S. Galinsky, Margaret Ann Dubil
Hearing Site: Baltimore, MD
| | |
| 12-00529 | 08/08/2012 | Claimant(s): Joseph Massaro
Claimant Lawyers(s): Joseph Vincent Massaro
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Baltimore, MD
| | |
| 12-00465 | 06/29/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Brendan O'brien
Respondent Lawyers(s): Brendan Patrick O'Brien
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
| | |
| 11-04404 | 06/19/2012 | Claimant(s): International Financial Solutions.
Claimant Lawyers(s): Joel R. Beck
Respondent(s): Walter Clark
Respondent Lawyers(s): Walter Lee Clark
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Baltimore, MD
| | |
| 11-01928 | 04/24/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Peter Oristian
Respondent Lawyers(s): Peter J. Oristian
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
| | |
| 11-03910 | 03/22/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): William Adelsberger
Respondent Lawyers(s): William George Adelsberger
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
| | |
| 11-02004 | 03/07/2012 | Claimant(s): James Swinney
Claimant Lawyers(s): Elizabeth R. Makris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Daniel T. McHugh, Michael J. Henke, J. Snowden Stanley
Hearing Site: Baltimore, MD
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