| 11-01601 | 02/20/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David W. Erb
Respondent(s): Michael Duprey, Bluemont Capital Advisors
Respondent Lawyers(s): Hannah Berkowitz, Jason W. Gaarder
Arbitrator(s): William H. Malloy, Stephany Adriene Watson, Randy Cepuch
Hearing Site: Washington, DC
| | |
| 11-00620 | 09/07/2012 | Claimant(s): Judith Keiffer, Sebert Keiffer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): William H. Malloy, David Edward Upton, Beverly F. Druitt
Hearing Site: Richmond, VA
|  | $191,168 |
| 09-03464 | 03/14/2012 | Claimant(s): Ora Hodges, Paul Kay
Claimant Lawyers(s): Ora Hodges
Respondent(s): James Kujawski, Morgan Stanley & Co., Kristin Long, Morgan Stanley Smith Barney
Respondent Lawyers(s): Christopher Wilson, James A. Kujawski, Kristin G. Long
Arbitrator(s): William H. Malloy, Nickey D. Turner, William Stephen McGee
Hearing Site: Washington, DC
| | Expungement |
| 09-05568 | 02/22/2011 | Claimant(s): Nicole Secrest, William F. Runge IRA, Trust Created fbo Nicole A. Secrest, William F. Runge Revocable Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): William H. Malloy, Merle D. Rockwell, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $124,156 |
| 09-05313 | 01/20/2011 | Claimant(s): Clarence Taylor, Jason Haddaway, Jonathan Bjoring, Michael Gray
Claimant Lawyers(s): Thomas Earl Patton
Respondent(s): Banc of America Investment Services Inc., Bank of America Corporation
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Bonnie K. Wachtel, William H. Malloy, Caryl S. Bernstein
Hearing Site: Washington, DC
| | |
| 05-06249 | 03/09/2009 | Claimant(s): Kathy Turner, Estate of Olivia Frase
Claimant Lawyers(s): Kathy Turner
Respondent(s): John Carlson, John Turner, R. Wood, J.W. Cole Financial., Jonathan Roberts Financial Group.
Respondent Lawyers(s): Clifford J. Hunt, Norman B. Arnoff
Arbitrator(s): Sarah G. Anderson, William H. Malloy, Robert A. Ames
Hearing Site: Charlotte, NC
| | Expungement |
