| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
|  | Expungement |
| 18-04126 | 02/13/2020 | Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
| | $0 |
| 17-01209 | 12/05/2018 | Claimant(s): Waylon Jackson
Claimant Lawyers(s): Andrew G. Mauck
Respondent(s): Louis Frates
Respondent Lawyers(s): J. Bryan Plumlee
Arbitrator(s): Michael J. Henke, Joseph J. Dougherty, Tony J Lawrence
Hearing Site: Richmond, VA
| | |
| 15-01981 | 04/26/2016 | Claimant(s): Thomas Cresce
Claimant Lawyers(s): Joseph T. Trapeni
Respondent(s): Kevin Beck, Stuart Youngentob, NFP Advisor Services
Respondent Lawyers(s): Kelsey Hotchkiss
Arbitrator(s): Michael J. Henke
Hearing Site: Richmond, VA
| | $0 |
| 14-03531 | 01/19/2016 | Claimant(s): Estate of Glenny B. White
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Michael J. Henke, Wesley C. Wilson, Ross E. Legum
Hearing Site: Norfolk, VA
| | $2,036,890 |
| 14-01579 | 12/23/2014 | Claimant(s): Jonathan Phillips
Claimant Lawyers(s): Gilbert C. Laite
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Lynne T. Albert, Michael J. Henke, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | |
| 13-02375 | 02/19/2014 | Claimant(s): Doris Parsons, Est. of William J. Parsons by Doris N. P
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Wells Fargo Advisors, Virginia Bunton
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael J. Henke
Hearing Site: Raleigh, NC
| | $34,982 |
| 11-02004 | 03/07/2012 | Claimant(s): James Swinney
Claimant Lawyers(s): Elizabeth R. Makris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Daniel T. McHugh, Michael J. Henke, J. Snowden Stanley
Hearing Site: Baltimore, MD
| | |
| 10-02264 | 03/23/2011 | Claimant(s): Michael Turek
Claimant Lawyers(s): Michael G Turek
Respondent(s): Joseph Lapietra
Respondent Lawyers(s): Leo G. Rydzewski
Arbitrator(s): Daniel T. McHugh, Michael J. Henke, Alan Robert Malasky
Hearing Site: Baltimore, MD
| | |
| 09-03990 | 08/03/2010 | Claimant(s): Kajeet.
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Michael J. Henke, Christopher M. McMurray, Barrett W. Freedlander
Hearing Site: Baltimore, MD
| | $80,800,000 |
