| 10-01651 | 12/23/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): William Whitehurst
Respondent Lawyers(s): William Whitehurst
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 10-03358 | 12/07/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): David Bredenburg
Respondent Lawyers(s): David Bredenburg
Arbitrator(s): Peter B. Vaden
Hearing Site: Baltimore, MD
| | |
| 10-01222 | 11/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): Hansel Toppin
Respondent Lawyers(s): Hansel Clayton Toppin
Arbitrator(s): E. William Pastor
Hearing Site: Baltimore, MD
| | |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
|  | $891,856 |
| 10-01963 | 10/07/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Brent Hawk
Respondent Lawyers(s): John L. Senft
Arbitrator(s): E. William Pastor
Hearing Site: Baltimore, MD
| | |
| 09-04498 | 08/26/2010 | Claimant(s): James Knell, Patricia Knell, The James W. Knell Trust, The Pat Knell Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Wilbert H. Luck, Jacalyn R. Murray, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 09-02853 | 08/17/2010 | Claimant(s): Richard Osman
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): James Weslow, Richard Plant
Respondent Lawyers(s): Edward E. Sharkey
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Thomas E. Maloney
Hearing Site: Baltimore, MD
| | |
| 10-01113 | 08/12/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Fred Brown
Respondent Lawyers(s): Fred Brown
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Baltimore, MD
| | |
| 09-04519 | 08/10/2010 | Claimant(s): Tammie Lewis, Tammie L. Lewis Revocable Trust, Wm Lewis Ttee Tammie L. Lewis Rev. Trust
Claimant Lawyers(s): Kevin F. Arthur
Respondent(s): Kathy Gordon, Gordon Financial Services., Medallion Investment Services., TMG Holding Co.., The Medallion Advisory Services
Respondent Lawyers(s): Brian M. Zaid, Thomas J. Schetelich
Arbitrator(s): Wilbert H. Luck, John L. Braxton, Charles C. Fox
Hearing Site: Baltimore, MD
| | $275,600 |
| 09-03990 | 08/03/2010 | Claimant(s): Kajeet.
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Michael J. Henke, Christopher M. McMurray, Barrett W. Freedlander
Hearing Site: Baltimore, MD
| | $80,800,000 |
