| 09-04953 | 02/04/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Jacqueline Hanson-Shea
Respondent Lawyers(s): Jacqueline Lynn Hanson-Shea
Arbitrator(s): Daniel Herbert Margolis
Hearing Site: Washington, DC
| | |
| 09-01246 | 12/18/2009 | Claimant(s): Joseph Ventura
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Frank E. Wolf, Kenneth Dymond, Alan V. Iselin
Hearing Site: Albany, NY
| | |
| 09-00606 | 10/26/2009 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Joseph Scarborough
Respondent Lawyers(s): Ramsay M. Whitworth
Arbitrator(s): Walter Peterson, Robert T. Reeves, Gregory R. Banasz
Hearing Site: Baltimore, MD
| | |
| 08-02018 | 04/16/2009 | Claimant(s): Holly Angell Hardman, Trustee
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Arthur Grossbard, Royal Alliance Associates.
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): June Y. Kilmarx, Howard M. Miller, Peter Svorinic
Hearing Site: Boston, MA
|  | $0 |
| 05-05474 | 01/23/2009 | Claimant(s): John Carpenter
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Royal Alliance Associates., Steven Muntin
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): George H. Zinn, Burton L. Ansell
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 07-03357 | 10/31/2008 | Claimant(s): Gerald Tagge, Gregory Rutherford, Scott Norvell
Claimant Lawyers(s): David A. Domina
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Bruce C. Young, Donald H. Loudon, Mark F. Marshall
Hearing Site: Omaha, NE
| | |
| 07-02877 | 09/22/2008 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Martin Q. Ryan
Respondent(s): Scott Tischler
Respondent Lawyers(s): Scott Gregory Crowley
Arbitrator(s): Ida W. Draim, Keith A. Green, Donna L. Cooper
Hearing Site: Richmond, VA
| | |
| 07-00723 | 12/27/2007 | Claimant(s): John Pennachio, Mark Wells, High Mark Associates., High Mark Insurance and Financial, High Mark Securities.
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Marshall H. Lichtenstein, Robert N. Leitch, Patrick Emery Longan
Hearing Site: Atlanta, GA
| | |
| 05-02521 | 10/18/2007 | Claimant(s): Brenda Caswell, Gail Carlson, George Finkbiner, Herbert Hansen, Jane Hoffman, Jane Kercheval, Joyce Alo, Kendall Kelly, Kenneth Caswell, Margaret Huyler, Marguerite Edwards, Ralph Carlson, Rosemary O'Donnell, Earl Kercheval, Elizabeth Hansen, Estate of Eileen McCardle, Antonio and Bernardina Augusto, Frederick and Diane Burmeister, Harold and Janet Bennett, Davison Rugs Profit Sharing Trust
Claimant Lawyers(s): Brian A. Carlis, Richard D. DeVita
Respondent(s): Royal Alliance Associates., Comprehensive Asset Mgmt and Servicing
Respondent Lawyers(s): Brian A. Carlis, Erika L. Altman
Arbitrator(s): Ronnie Edward Nichols, Robert T. Kelly, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
| | $125,423 |
| 07-00725 | 09/20/2007 | Claimant(s): Pat Selman
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Gordon MacMillan
Hearing Site: Portland, OR
| | $0 |
