| 09-06140 | 07/14/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Janice Koch
Respondent Lawyers(s): Janice C. Koch
Arbitrator(s): Robert Charkovsky
Hearing Site: Baltimore, MD
|  | $0 |
| 09-04418 | 07/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): William Adelsberger
Respondent Lawyers(s): William G. Adelsberger
Arbitrator(s): Ralph S. Blascovich
Hearing Site: Baltimore, MD
| | |
| 09-03062 | 06/03/2010 | Claimant(s): James A. Dixon Testamentary Trust
Claimant Lawyers(s): Michael Dixon
Respondent(s): Keith Steiner, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Herbert B. Williams, Daniel J. Donovan, Arlene J.M. Grant
Hearing Site: Baltimore, MD
| | Lack Jurisdiction (Rule 12200/12201) |
| 09-03657 | 05/12/2010 | Claimant(s): Toshio and Chie Nakano Living Trust
Claimant Lawyers(s): Toshio Nakano
Respondent(s): Wedbush Securities Inc., Richard Lanni
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Michael J. Henke, Joan H. Palmer, Joan M. Smith
Hearing Site: Baltimore, MD
| | $107,100 |
| 09-04372 | 04/29/2010 | Claimant(s): Amsal Woreta and Aklog Birara
Claimant Lawyers(s): Amsal Woreta
Respondent(s): E*Trade Securities LLC, Marcelo Miano
Respondent Lawyers(s): John Bersin
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
| | Expungement |
| 09-01662 | 02/09/2010 | Claimant(s): Charles W. & Mary Alice Dammeyer
Claimant Lawyers(s): Jack J. Shapiro
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Paul Greenberg
Hearing Site: Baltimore, MD
| | $0 |
| 09-03525 | 12/21/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Cari A. Lewis
Respondent(s): Jean McHale
Respondent Lawyers(s): Jean McHale
Arbitrator(s): Wilbert H. Luck
Hearing Site: Baltimore, MD
| | $0 |
| 09-01281 | 12/18/2009 | Claimant(s): Marian Zagier
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): John Forrester, Wasserman & Associates.
Respondent Lawyers(s): John Gerard Forrester, Scott B. Wasserman, Sr., President
Arbitrator(s): Janet Stern Solomon, Donald R. Giacomelli, Shelley Simons Korch
Hearing Site: Baltimore, MD
| | $116,615 |
| 09-00623 | 12/15/2009 | Claimant(s): Dickerson Living Trust
Claimant Lawyers(s): William A. Healy
Respondent(s): Jarrett Gounaris, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira L. Oring
Arbitrator(s): N. Clark Moran, Maurice R. Dunie, Shelley Simons Korch
Hearing Site: Baltimore, MD
| | $0 |
| 09-00606 | 10/26/2009 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Joseph Scarborough
Respondent Lawyers(s): Ramsay M. Whitworth
Arbitrator(s): Walter Peterson, Robert T. Reeves, Gregory R. Banasz
Hearing Site: Baltimore, MD
| | |
