| 20-01860 | 01/22/2021 | Claimant(s): Thomas West
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): David Edward Upton, Glenn H. Catalano, Tina E. Patterson
Hearing Site: Richmond, VA
| | |
| 15-00777 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jeffrey Smith
Respondent Lawyers(s): Jeffrey H. Smith
Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark
Hearing Site: Norfolk, VA
| | |
| 12-00842 | 06/25/2013 | Claimant(s): Lewis Downs
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Anderson & Strudwickorporated
Respondent Lawyers(s): Justin Joseph D'Elia
Arbitrator(s): Glenn H. Catalano, Peter B. Loewenberg
Hearing Site: Richmond, VA
| | |
| 10-05048 | 02/24/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Frederick Facka
Respondent Lawyers(s): Frederick Facka
Arbitrator(s): Glenn H. Catalano, David Paul Clark, Ramon M. Brinkman
Hearing Site: Richmond, VA
| | |
| 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 |
| 08-00532 | 01/15/2009 | Claimant(s): Branch Avenue Plaza, L.P.
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Gary Ackerman, United Securities Alliance.
Respondent Lawyers(s): Brenda Neel Hight, Derek C. Anderson
Arbitrator(s): Glenn H. Catalano, Charles Mitchell Conover, Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 07-01872 | 06/13/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gary Compton
Respondent Lawyers(s): Gary R. Compton
Arbitrator(s): John J. Muldowney, Sidney L. Sussman, Glenn H. Catalano
Hearing Site: Norfolk, VA
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