| 16-00213 | 08/23/2016 | Claimant(s): Billy Hackworth
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Richard E. Lauziere
Hearing Site: Richmond, VA
|  | $213 |
| 14-01415 | 08/05/2016 | Claimant(s): Susan Mueller
Claimant Lawyers(s): Dale R. Jensen
Respondent(s): David Thompson, Wall Street Financial Group.
Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg
Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson
Hearing Site: Richmond, VA
| | $0 |
| 14-01456 | 01/29/2016 | Claimant(s): E. Gerald Eigenfeld, Norma Eigenfeld
Claimant Lawyers(s): William G. Shields
Respondent(s): Patrick Ayers, Ayers Financial Services, ING Financial Partners.
Respondent Lawyers(s): C. Bryce Benson
Arbitrator(s): Richard E. Lauziere, Janice L. Burnham, Overman Randolph Rollins
Hearing Site: Richmond, VA
| | $0 |
| 12-03523 | 05/09/2014 | Claimant(s): Sean Horrigan
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
| | |
| 13-00992 | 11/21/2013 | Claimant(s): Charles Ward
Claimant Lawyers(s): Rebecca E. Swenson
Respondent(s): Helen Ward, John Ward, UBS Financial Services Inc., Lea Ward
Respondent Lawyers(s): Helen Ward, John P. Ward, Lea C. Ward, Rebecca E. Swenson
Arbitrator(s): Richard E. Lauziere, Brenda J. Stovall, Jason William Gaarder
Hearing Site: Baltimore, MD
| | Expungement |
| 11-02327 | 03/14/2013 | Claimant(s): Dorothy Burhans, Winslow Burhans, A Testamentary TR ENT Share B
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): Richard E. Lauziere, Vicky L. Orem, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | Expungement |
| 11-03974 | 09/25/2012 | Claimant(s): Bethel A.M.E. Church.
Claimant Lawyers(s): William S. Heyman
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regin P. Martorana
Arbitrator(s): Richard E. Lauziere, Sandra Lee Dolan, Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
| 10-03122 | 05/13/2011 | Claimant(s): Michael D. Fulda, Michael Fulda & Rivka Fulda Ten Ent
Claimant Lawyers(s): Michael D. Fulda
Respondent(s): Avi Greenlinger, Avigail Rosemore, Morgan Stanley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): N. Clark Moran, Richard E. Lauziere, John H Adair
Hearing Site: Baltimore, MD
| | $0 |
| 09-04244 | 12/29/2010 | Claimant(s): Jeffrey Haugh, Linda Haugh, AAA Consulting, Mid-Atlantic Anesthesia, P.A., Jeffrey T. Haugh and Linda Haugh
Claimant Lawyers(s): Mark M. Dumler
Respondent(s): Aura Financial Services., Harvard Funding Group., Westpark Capital.
Respondent Lawyers(s): John Woodruff, Richard Kraut
Arbitrator(s): Richard E. Lauziere, Robert T. Reeves, Alan Robert Malasky
Hearing Site: Baltimore, MD
| | $585,000 |
| 09-04372 | 04/29/2010 | Claimant(s): Amsal Woreta and Aklog Birara
Claimant Lawyers(s): Amsal Woreta
Respondent(s): E*Trade Securities LLC, Marcelo Miano
Respondent Lawyers(s): John Bersin
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
| | Expungement |
