| 19-01970 | 06/04/2020 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Charles Rattley
Respondent Lawyers(s): Charles Kenneth Rattley
Arbitrator(s): Diane Ciccone, Thomas J. Dolina, Margaret Ann Dubil
Hearing Site: Baltimore, MD
|  | $207,918 |
| 20-00581 | 05/29/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): Nelson Polun
Respondent Lawyers(s): Nelson M. Polun
Arbitrator(s): Elliot B. Platt
Hearing Site: Baltimore, MD
| | |
| 18-04072 | 05/04/2020 | Claimant(s): John Moy
Claimant Lawyers(s): Jennifer Willey
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joan H. Palmer, Edward J. Gutman, Jane Tam
Hearing Site: Baltimore, MD
| | |
| 19-02262 | 03/27/2020 | Claimant(s): Shaun Blakeslee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Jane Tam
Hearing Site: Baltimore, MD
| | |
| 19-03437 | 03/24/2020 | Claimant(s): Nancy Huber
Claimant Lawyers(s): Nancy C. Huber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $1,249 |
| 19-02211 | 03/06/2020 | Claimant(s): Edward William Kissinger
Claimant Lawyers(s): Rachel N. Mech
Respondent(s): Sanders Morris Harris LLC
Respondent Lawyers(s): Steve Mangold
Arbitrator(s): Catherine Esther Bocskor
Hearing Site: Baltimore, MD
| | |
| 19-01756 | 01/29/2020 | Claimant(s): Steven Goldberg
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Vidya A. Mirmira
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
| | |
| 18-03249 | 11/25/2019 | Claimant(s): Brian Toon, Joseph Sperber, Phyllis Schreiner, Ronda Montgomery
Claimant Lawyers(s): Joseph J. Sperber
Respondent(s): TD Ameritrade., E*Trade Securities LLC
Respondent Lawyers(s): James J. Vihstadt, Meredith Hoffman
Arbitrator(s): Ellen F. Kandell, Joseph J. Dougherty, Gerald S. Smith
Hearing Site: Baltimore, MD
| | $0 |
| 19-01102 | 11/21/2019 | Claimant(s): Thomas Clark
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | |
| 18-03529 | 11/07/2019 | Claimant(s): Estate of Gerald Seldin, Gerald Seldin Residuary Trust u/w dated
Claimant Lawyers(s): Jeffrey E. Nusinov
Respondent(s): Alan Hess, Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Edward J. Gutman, James Ray Eyler, Thomas M. Devlin
Hearing Site: Baltimore, MD
| | $173,202 |
