| 19-01839 | 10/18/2022 | Claimant(s): Linda O'Donnell
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): TD Ameritrade., Peter Keating, United Planners' Financial Services
Respondent Lawyers(s): Erinn M. Maguire, Gerry Kowalski
Arbitrator(s): Jay B. Bachar, Catherine Esther Bocskor, Robert J. Kirkner
Hearing Site: Baltimore, MD
|  | $244,344 |
| 22-00631 | 09/30/2022 | Claimant(s): Kevin Nolan
Claimant Lawyers(s): Denis Dice
Respondent(s): Db Alex. Brown LLC
Respondent Lawyers(s): Deutsche Banc Alex Brown Inc.
Arbitrator(s): Richard E. Lauziere, Patricia M. Maher, Jay B. Bachar
Hearing Site: Baltimore, MD
| | |
| 22-00143 | 09/28/2022 | Claimant(s): Nilos Sakellariou
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Glen Eagle Wealth
Respondent Lawyers(s): Andrew M. DeLucia, W. Preston Martin
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
| | |
| 21-02658 | 08/26/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): John Baer
Respondent Lawyers(s): John Charles Baer
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | |
| 22-00265 | 08/12/2022 | Claimant(s): Michael Achatz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | |
| 21-00584 | 07/08/2022 | Claimant(s): Joann Rosellini, Estate of Alexander V. Rosellini
Claimant Lawyers(s): Thomas Costello
Respondent(s): National Securities Corporation, John Moy
Respondent Lawyers(s): Fred N. Knopf, Jennifer R. Willey
Arbitrator(s): Lawrence E. Dube, Josephia Rouse, Elizabeth Varner
Hearing Site: Baltimore, MD
| | Expungement |
| 19-03575 | 04/04/2022 | Claimant(s): Kimberly Hartman
Claimant Lawyers(s): Brittany Weiner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Ellen F. Kandell, James Ray Eyler, Michele Francene Dandrea
Hearing Site: Baltimore, MD
| | |
| 19-03404 | 03/21/2022 | Claimant(s): Frank B Hannah Sr.
Claimant Lawyers(s): Luke Rommel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Truitt
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Daniel J. Donovan, Richard E. Lauziere, Tina E. Patterson
Hearing Site: Baltimore, MD
| | Expungement |
| 19-03232 | 01/13/2022 | Claimant(s): Amy Wister, Cindy Konits, Gail Friedler, Gordon Boone, Milan Wister, Philip Konits, Richard Friedler, Stanley Friedler
Claimant Lawyers(s): Daniel Miller
Respondent(s): Coleman Devlin, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Steven Irving Platt, Betty Ann Stemley, Beata Gruszecka
Hearing Site: Baltimore, MD
| | $0 |
| 20-01787 | 08/23/2021 | Claimant(s): Allison Walk, Stephen Walk
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye
Hearing Site: Baltimore, MD
| | $405,000 |
