| 18-01976 | 06/20/2019 | Claimant(s): Zephyr Fund
Claimant Lawyers(s): Rod Holder
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph Siders
Arbitrator(s): Jeffry L. Perlman, Kelli J. Jareaux, David Paul Clark
Hearing Site: Washington, DC
|  | $12,800 |
| 18-01118 | 10/16/2018 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Keith Blanchard
Respondent Lawyers(s): Keith Everette Blanchard
Arbitrator(s): David Paul Clark
Hearing Site: Charlotte, NC
| | |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 13-00039 | 06/19/2018 | Claimant(s): Estate of Marion M. Young, Estate of Seymour R. Young, The Young Family Trust
Claimant Lawyers(s): Ford C. Ladd
Respondent(s): Christopher Cunningham, Wells Fargo Advisors, Fulcrum Securities
Respondent Lawyers(s): Andrew R. Park, Christopher Matthew Cunningham, William P. Behrens
Arbitrator(s): David Paul Clark, Carl William Noller, Patricia H. Latham
Hearing Site: Washington, DC
| | $127,000 |
| 16-03467 | 02/27/2018 | Claimant(s): Kimberly Lambert
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | Expungement |
| 17-01348 | 01/02/2018 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Manoj R. Andalkar
Respondent(s): Stephanie Yoingco
Respondent Lawyers(s): Stephanie Ann Yoingco
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 15-00543 | 09/13/2017 | Claimant(s): Gary Padussis
Claimant Lawyers(s): Edward P. McDermott
Respondent(s): Richard Horn
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): David Paul Clark, Steven Irving Platt, Jonathan David Rogers
Hearing Site: Baltimore, MD
| | |
| 16-00678 | 08/25/2017 | Claimant(s): Becky Lynch
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): David Paul Clark, John David Morgan, Bruce Burr McElvein
Hearing Site: Baltimore, MD
| | |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 16-02523 | 02/28/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher M. Rodriguez
Respondent(s): Omer Ali-Taha
Respondent Lawyers(s): Omer Mohamed Ali-Taha
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
