21-01762 | 04/10/2024 | Claimant(s): Melvin Menke Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Richard Coleman, William Brown, Richard James & Associates. Respondent Lawyers(s): Frank Barravechia, Richard James Coleman, William Robert Brown Arbitrator(s): Julius Z. Frager Hearing Site: Louisville, KY
| | Dismissed by Rule 12511&12212© |
23-01368 | 01/23/2024 | Claimant(s): William Brown Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond James & Associates., Legg Mason Wood Walker, R. H. York & Company. Respondent Lawyers(s): Laura Ruiz Rivera, Lawrence York, Rosemary Francavilla Arbitrator(s): Kevin R. Zehe Hearing Site: Cincinnati, OH
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21-02651 | 03/22/2023 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Matthew B. Henneman Respondent(s): Gregory Novak, Tracy Druce Respondent Lawyers(s): Gregory Novak, Tracy Druce Arbitrator(s): Linda Broocks, Daniel J. Pagnano, William G Brown Hearing Site: Houston, TX
| | $260,436 |
17-02918 | 03/28/2018 | Claimant(s): Barbara Sweet, Kenneth Sweet Claimant Lawyers(s): Bradley D Schnur Respondent(s): William Brown Respondent Lawyers(s): William Robert Brown Arbitrator(s): Geoffrey A. Drucker Hearing Site: Baltimore, MD
| | $213 |
12-02245 | 04/03/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings Claimant Lawyers(s): Renan I. Sugarman Respondent(s): William Brown Respondent Lawyers(s): Lowell N. Hawkes Arbitrator(s): Joseph W. Cheek, Katherine H. O'Neil, John McGown Hearing Site: Boise, ID
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11-02065 | 09/04/2012 | Claimant(s): William Brown Claimant Lawyers(s): William E. Brown Respondent(s): Dave Osborn, TD Ameritrade., Ken Sitnick, Watts Ha, RNC Center Capital Management Respondent Lawyers(s): Compliance Officer, Dave Osborn, Hollie S. Mason Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA
| | $213 |
11-01351 | 01/04/2012 | Claimant(s): William Brown Claimant Lawyers(s): Ronald G. Parker Respondent(s): Arrowhead Investment Center Respondent Lawyers(s): Richard C. Moore Arbitrator(s): Herbert Leslie Greenberg, James D. Knotter, Harold K. Hunt Hearing Site: Los Angeles, CA
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09-06774 | 05/05/2011 | Claimant(s): William Brown Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): Burke Dambly, Daryl Holzberg, James Walsh, Private Asset Group. Respondent Lawyers(s): Robert J. Girard Arbitrator(s): Linda B. Kelly, Frances Johnson Wright, James Douglas Haigh Hearing Site: Dallas, TX
| | Expungement |