04-05979 | 12/22/2008 | Claimant(s): Elliott Haines Claimant Lawyers(s): William B. Young Respondent(s): Citigroup Global Markets., Jack B. Grubman Respondent Lawyers(s): Mark L. Parmelee Arbitrator(s): Joyce A. Mitchell Hearing Site: Baltimore, MD
| | $0 |
08-00576 | 12/12/2008 | Claimant(s): Heather Lynch Claimant Lawyers(s): Clinton R. Black Respondent(s): Andrew Martin, Morgan Stanley & Co. Respondent Lawyers(s): John L. Castelly Arbitrator(s): Richard F. Bieker, Robert T. Reeves, Barrett W. Freedlander Hearing Site: Baltimore, MD
| | $236,394 |
08-01353 | 11/12/2008 | Claimant(s): Katherine Knowlden-Ryerson Claimant Lawyers(s): Katherine C. Knowlden-Ryerson Respondent(s): Primevest Financial Services. Respondent Lawyers(s): Thomas Vays Arbitrator(s): Joseph O'Donnell Hearing Site: Baltimore, MD
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07-02653 | 07/25/2008 | Claimant(s): Robert Frank Claimant Lawyers(s): Frank L. Kollman Respondent(s): Ferris, Baker Watts Inc. Respondent Lawyers(s): Susan M. Guerette Arbitrator(s): Donald R. Giacomelli, Baunita M. Greer, Joan M. Smith Hearing Site: Baltimore, MD
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07-02466 | 07/17/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Joseph Sherrick Respondent Lawyers(s): Joseph J. Sherrick Arbitrator(s): Bonnie K. Wachtel, Donald R. Giacomelli, Stephanie Wagner Ketchum Hearing Site: Baltimore, MD
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07-01364 | 07/14/2008 | Claimant(s): Garland O. and Antoinette P. Williamson Claimant Lawyers(s): Robert A. Kantas Respondent(s): Stanley Laman Group Securities Respondent Lawyers(s): William G. Stanley Arbitrator(s): William P. Borduin, Brenda J. Stovall, Thomas E. Maloney Hearing Site: Baltimore, MD
| | Stipulated Award and Expungement |
07-03156 | 05/28/2008 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Joel Small Respondent Lawyers(s): Joel Small Arbitrator(s): Bonnie K. Wachtel, Daniel T. McHugh, Bonnie Dale King-Rose Hearing Site: Baltimore, MD
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07-01355 | 04/29/2008 | Claimant(s): Adele Nathanson, J&A Nathanson Family Trust Claimant Lawyers(s): Alex M. Allman Respondent(s): Chris Haera, Wachovia Securities, Dan Klein Respondent Lawyers(s): Demian J. Betz Arbitrator(s): James M. Johnstone, Richard Charles Hotvedt, Charles C. Fox Hearing Site: Baltimore, MD
| | $0 |
06-05082 | 10/22/2007 | Claimant(s): Anne Snyder Claimant Lawyers(s): Ronald H. Jarashow Respondent(s): A.G. Edwards & Sons., Robert Hopkins Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Nelson I. Fishman, Lester Louis Adams, Gregory R. Banasz Hearing Site: Baltimore, MD
| | $0 |
07-00623 | 08/28/2007 | Claimant(s): Pro-Integrity Securities. Claimant Lawyers(s): William Perry Respondent(s): Walter Clark Respondent Lawyers(s): Walter Clark Arbitrator(s): Catherine Ladnier Hearing Site: Baltimore, MD
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