| 18-03763 | 01/09/2020 | Claimant(s): Lauren Flynn
Claimant Lawyers(s): Lauren Terri Flynn
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Steven Mellen
Arbitrator(s): Ian S. Greig, James A. Hayes, Mauricio Arcadier
Hearing Site: Columbia, SC
|  | Dismissed by Rule 12212(c) |
| 17-01393 | 05/29/2019 | Claimant(s): Jonathan Feldman
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): optionsXpress.
Respondent Lawyers(s): Stephen J. Senderowitz
Arbitrator(s): James A. Hayes, Joseph J. Dougherty, John Nelson Greer
Hearing Site: Baltimore, MD
| | $1,558,000 |
| 18-00294 | 12/18/2018 | Claimant(s): Kent Pearce
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
| | $550,000 |
| 17-00150 | 11/07/2018 | Claimant(s): Edith M. Wachsner Trust
Claimant Lawyers(s): Henry I. Willett
Respondent(s): Kent Engelke, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): James A. Hayes, Robert Charkovsky, Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | Expungement |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 15-02760 | 03/17/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Richard Ewalt
Respondent Lawyers(s): Richard Lee Ewalt
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | |
| 15-00589 | 01/27/2016 | Claimant(s): Catherine Boland, Richard Graves
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): James A. Hayes, Christopher M. McMurray
Hearing Site: Baltimore, MD
| | Expungement |
| 14-01597 | 10/19/2015 | Claimant(s): Sharon Krieger
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Michael Fein, Commonwealth Financial Network
Respondent Lawyers(s): James A. Johnson
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | Expungement |
| 12-00492 | 05/29/2014 | Claimant(s): Bobb Meckenstock
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): James Livingston, Scott Romine, National Planning Corporation
Respondent Lawyers(s): Ross A. Anderson
Arbitrator(s): Thomas B. Phillips, James A. Hayes, Van R. Oliver
Hearing Site: Wichita, KS
| | |
