| 18-04071 | 09/13/2019 | Claimant(s): John Moy
Claimant Lawyers(s): Jennifer Willey
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David L. Ruderman, Marian Smith Glenn, Joan M. Smith
Hearing Site: Baltimore, MD
| | |
| 18-04383 | 09/12/2019 | Claimant(s): Todd Mitchell
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Brenda J. Stovall
Hearing Site: Baltimore, MD
| | |
| 18-03809 | 08/22/2019 | Claimant(s): Ashley Pagartanis
Claimant Lawyers(s): Ashley Pagartanis
Respondent(s): Lombard Securities Incorporated
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Brenda J. Stovall, Steven Irving Platt, George Thomas Doran
Hearing Site: Baltimore, MD
| | |
| 18-00816 | 07/09/2019 | Claimant(s): James McCrory
Claimant Lawyers(s): John H. West
Respondent(s): RBC Capital Markets LLC, Thomas McCrory
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Steven Irving Platt, Jonathan David Rogers, Andrew Eliot Finkel
Hearing Site: Baltimore, MD
| | |
| 18-02860 | 07/09/2019 | Claimant(s): Franklyn Clarke
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | |
| 18-03653 | 06/11/2019 | Claimant(s): Young Lee
Claimant Lawyers(s): Young S. Lee
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
|  | $0 |
| 18-03254 | 06/06/2019 | Claimant(s): Ronald Wetzel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Legg Mason Wood Walker, Citigroup Global Markets.
Respondent Lawyers(s): Abigail D. Elrod, Barbara Weaver, David I. Hantman
Arbitrator(s): Jim Geiger
Hearing Site: Baltimore, MD
| | |
| 18-04193 | 06/03/2019 | Claimant(s): Charles Laubach
Claimant Lawyers(s): Charles Laubach
Respondent(s): Chapin Davis.
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Brian Charles Parker
Hearing Site: Baltimore, MD
| | |
| 17-01393 | 05/29/2019 | Claimant(s): Jonathan Feldman
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): optionsXpress.
Respondent Lawyers(s): Stephen J. Senderowitz
Arbitrator(s): James A. Hayes, Joseph J. Dougherty, John Nelson Greer
Hearing Site: Baltimore, MD
| | $1,558,000 |
| 18-03193 | 04/25/2019 | Claimant(s): Junfeng Song
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group., Ameritas Investment Corp.
Respondent Lawyers(s): Andrea Snowden, Edward Zusman
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
