| 13-00650 | 11/06/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Brian Kilgallon
Respondent Lawyers(s): Brian Michael Kilgallon
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
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| 11-02856 | 01/31/2013 | Claimant(s): Phillip Korff
Claimant Lawyers(s): Eliot Goldstein
Respondent(s): The Investment Center.
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Mona Koppel Mitnick, Christopher M. McMurray, David Paul Clark
Hearing Site: Washington, DC
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| 12-01458 | 01/17/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Rebecca R. Cusick
Respondent(s): Heidi Mcmillian
Respondent Lawyers(s): Heidi Koepenick Mcmillian
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
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| 10-05048 | 02/24/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Frederick Facka
Respondent Lawyers(s): Frederick Facka
Arbitrator(s): Glenn H. Catalano, David Paul Clark, Ramon M. Brinkman
Hearing Site: Richmond, VA
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| 11-00389 | 09/19/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Nicholas Innerbichler
Respondent Lawyers(s): Nicholas D. Innerbichler
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
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| 10-04032 | 09/08/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Vincent Ross
Respondent Lawyers(s): Vincent Ross
Arbitrator(s): David Paul Clark
Hearing Site: Pittsburgh, PA
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| 10-01897 | 06/24/2011 | Claimant(s): Deborah Gandy
Claimant Lawyers(s): Patricia L. Payne
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): M. Michael Cramer, David Paul Clark, Lloyd M. Richardson
Hearing Site: Washington, DC
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| 09-07021 | 01/13/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): Guido Alvarez
Respondent Lawyers(s): Guido J. Alvarez
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
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| 10-01651 | 12/23/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): William Whitehurst
Respondent Lawyers(s): William Whitehurst
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
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| 09-05407 | 12/06/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Joshua Cuff
Respondent Lawyers(s): Joshua Cuff
Arbitrator(s): David Paul Clark
Hearing Site: Richmond, VA
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