| 13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Stipulated Award |
| 13-00796 | 07/14/2014 | Claimant(s): Brian Casson, Patricia Casson
Claimant Lawyers(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Allied Beacon Partners.
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Richard Djokic
Hearing Site: Denver, CO
| | $574,070 |
| 10-01778 | 05/21/2013 | Claimant(s): Annette Bosco, Diane Rubel, Louis Bosco, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust Dtd 6/25/96, The Bosco Family Trust Dtd 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): George Gilbert, James Mitchell, AIC., Community Bankers Securities, Waterford Investor Services.
Respondent Lawyers(s): Benjamin Skjold, Company President, George J. Gilbert, James Marvin Mitchell, Steven S. Biss
Arbitrator(s): Steven P. Gomberg, James F. Carlson, Michael S. Jordan
Hearing Site: Chicago, IL
| | $1,607,500 |
| 10-01463 | 05/10/2012 | Claimant(s): Barbara Wren, Robert Wren, Wren and Wren Trust UAD 2/30/06
Claimant Lawyers(s): Andrew Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Donald B. Vaden, Beverly F. Druitt, John D. Robb
Hearing Site: Richmond, VA
| | $307,778 |
| 11-00722 | 04/20/2012 | Claimant(s): Ellen Martin, Janice Robinson, P. Martin, Paul D. Martin Trust, Robinson Trust UAD 5/15/07
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Janice L. Burnham, Arthur B. O'Connell, John W. Lewis
Hearing Site: Richmond, VA
| | $142,437 |
| 10-01497 | 02/15/2012 | Claimant(s): Paul Sacco
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): John Guyette, Allied Beacon Partners. f/k/a Water, Community Bankers Securities
Respondent Lawyers(s): John Brady Guyette, Steven S. Biss
Arbitrator(s): William F. Skewes, Bradford J. Lam, Edward Allan Hindman
Hearing Site: Denver, CO
| | $109,956 |
| 10-02298 | 01/12/2012 | Claimant(s): Debra Kennedy and Harold Kennedy
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Joseph Audia, Matthew Ferber, Stephen Marek, American Capital Partners, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): John Kilkenny, Michael P. Gilmore, Scott Holcomb
Arbitrator(s): Donald B. Vaden, Glenn H. Catalano, Michael W. Hultzapple
Hearing Site: Richmond, VA
| | Expungement |
| 10-03937 | 11/18/2011 | Claimant(s): Annette M. Burton
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Richard Landi, Advent Securities., Community Bankers Securities, Waterford Investor Services.
Respondent Lawyers(s): Frank J. Wainscott, Richard Landi, Steven S. Biss
Arbitrator(s): Henry G. Plaster
Hearing Site: Richmond, VA
| | $35,000 |
| 10-02200 | 10/05/2011 | Claimant(s): Jeremy Harvey
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Karen McKinley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Jonathan S. Alcaro, Jane C. Carney, William Stephen Mailander
Hearing Site: Richmond, VA
| | $0 |
| 10-03492 | 09/16/2011 | Claimant(s): Avis E. Wyland
Claimant Lawyers(s): Edward B. Lowry
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Stuart H. Dunn, Dawn H. DeHart, Pauline Elkins Rosenstein
Hearing Site: Richmond, VA
| | $116,750 |
