| 07-00664 | 03/09/2009 | Claimant(s): Uzo Chima
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): E. William Pastor, Gerald B. Marcovsky, Judith A. Ashley
Hearing Site: Baltimore, MD
| | |
| 07-02872 | 03/05/2009 | Claimant(s): Douglas Strayer, Julie Strayer
Claimant Lawyers(s): Julie D. Strayer
Respondent(s): Wachovia Securities, John Brady
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Sandra Lee Dolan, Wilbert H. Luck, John Laing Bowles
Hearing Site: Baltimore, MD
|  | Stipulated Award and Expungement |
| 06-04993 | 01/15/2009 | Claimant(s): Maureen Madonna, Raymond Madonna
Claimant Lawyers(s): Marc A. Schifanelli
Respondent(s): Diana McKinney, Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams, Diana McKinney
Arbitrator(s): Sandra Lee Dolan, Jane F. Moore, John Joseph Hentschel, CRE, MAI, FRICS
Hearing Site: Baltimore, MD
| | Settlement |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
