| 16-01561 | 01/29/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): NYLife Securities LLC, Christopher Cuneo, Daniel Frazier, David Ponder, James Robertson, Joseph Lapietra, Noel Kellert, Pragnesh Bhatt, Satchie Carvounis, Scott Potoma, Scotty Reedy, New York Life Insurance Company
Respondent Lawyers(s): Brandon J. Brigham, Jeffrey A. Sturgeon
Arbitrator(s): Evelyn D. Pisegna-Cook, Olivia Milbank Farrar, Valencia Renae Rainey
Hearing Site: Washington, DC
| | |
| 16-02991 | 12/27/2017 | Claimant(s): Susana Scherrer and Maria D. Scherrer
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Fernando Del Llano Sobrino, Oriental Financial Services Corp.
Respondent Lawyers(s): Alfredo Fernandez Martinez, Sonia Marbarak
Arbitrator(s): Olivia Milbank Farrar, James Howell Garrison, William John Sommers
Hearing Site: San Juan, PR
|  | Expungement |
| 16-00314 | 03/07/2017 | Claimant(s): Beverly Carroll
Claimant Lawyers(s): Robert A.W. Boraks
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): David J. Sensenig
Arbitrator(s): Christopher M. McMurray, Michael R. Snow, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 13-00024 | 10/28/2013 | Claimant(s): Patricia Armstrong
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Raymond James Financial Services., Morgan Stanley & Co.
Respondent Lawyers(s): Terrence A. Bostic, William A. Hohauser
Arbitrator(s): Douglas Earl McLaren, Joyce A. Mitchell, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 08-04225 | 10/27/2009 | Claimant(s): Almas Temple A.A.O.N.M.S.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): M&T Securities.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Steven R. Bralove, Michael J. Henke, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 06-04416 | 10/25/2007 | Claimant(s): Franklin Fitch
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Ameriprise Advisor Services., Manish Mukhi
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Paul Davis Pearlstein, Deborah Page Aune, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
