| 11-03288 | 06/13/2013 | Claimant(s): Robert E. Faust & Beverley Faust
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Christopher Sabatino, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Frederic G. Antoun, Regina P. Martorana
Arbitrator(s): Sandra Lee Dolan, Joan M. Smith, Stephan Paul Carrier
Hearing Site: Baltimore, MD
|  | Expungement |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
| | $891,856 |
| 09-03657 | 05/12/2010 | Claimant(s): Toshio and Chie Nakano Living Trust
Claimant Lawyers(s): Toshio Nakano
Respondent(s): Wedbush Securities Inc., Richard Lanni
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Michael J. Henke, Joan H. Palmer, Joan M. Smith
Hearing Site: Baltimore, MD
| | $107,100 |
| 08-03597 | 10/05/2009 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Jeff Logan
Respondent(s): Aaron Holland
Respondent Lawyers(s): Aaron Holland
Arbitrator(s): Herbert B. Williams, Thomas E. Maloney, Joan M. Smith
Hearing Site: Baltimore, MD
| | |
| 07-02213 | 06/05/2009 | Claimant(s): Charles Poehlitz, Evelyn Jones, Grace Pipitone, Grover Drum, Estate of Augustus Pickens, Estate of Pauline Sweet
Claimant Lawyers(s): Frank J. Mastro, Richard J. Magid
Respondent(s): Uzo Chima, Suntrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis, Uzo Chima
Arbitrator(s): John A. Gray, Joan M. Smith, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $0 |
| 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
| | |
