| 14-01797 | 06/14/2017 | Claimant(s): Fulcrum Advisory Services, Fulcrum Securities
Claimant Lawyers(s): Gregory A. Friedman, Michelle L. Carey
Respondent(s): Brian Bloxom, Donald Megliola, Lindsay Snyder, Meredith Hazen, Michael Kissinger, Cambridge Investment Research., Sunrise Wealth Partners
Respondent Lawyers(s): John P. Connolly, Miles Jarrad Wright, Pat S. Conti, Robert C. Nagle
Arbitrator(s): Mary E. Woytek, Susan A. Mathews, Leslie Trager
Hearing Site: Washington, DC
| | |
| 14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer
Claimant Lawyers(s): John P. Connolly
Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford
Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman
Hearing Site: Washington, DC
|  | $0 |
| 12-02701 | 07/18/2014 | Claimant(s): Ivan Venuchekov, Ivan S. Venuchekov, trustee J.Simon 9/02, trustee P.Simon 4/87
Claimant Lawyers(s): John P. Connolly
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel Everest
Arbitrator(s): Arthur J. Wilson, Stephan Paul Carrier, Shelley Simons Korch
Hearing Site: Washington, DC
| | Expungement |
| 12-00035 | 02/14/2013 | Claimant(s): Scottrade Inc.
Claimant Lawyers(s): Niels P. Murphy
Respondent(s): Farid Mohamed
Respondent Lawyers(s): John P. Connolly
Arbitrator(s): Richard J. Grahn, Suzanne Lee Johnson, John Francis Markuns
Hearing Site: Boston, MA
| | $0 |
| 09-02175 | 11/02/2010 | Claimant(s): Paula Eisenstein
Claimant Lawyers(s): John P. Connolly
Respondent(s): Eric Meyers, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Anne Q. Uno, Stanley A. Cook, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $269,283 |
| 08-04044 | 10/08/2009 | Claimant(s): Michael Fogarty
Claimant Lawyers(s): John P. Connolly
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Jerome Nelson, Gene E. Godley, Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
| 08-03052 | 05/29/2009 | Claimant(s): Thomas Cusack
Claimant Lawyers(s): John P. Connolly
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mary E. Woytek, Michael H. McConihe, Wilson Thompson
Hearing Site: Washington, DC
| | $0 |
