| 18-02838 | 12/31/2018 | Claimant(s): Stanley Young
Claimant Lawyers(s): Stanley E. Young
Respondent(s): Timothy Grossman, Valic Financial Advisors.
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): Vicky L. Orem
Hearing Site: Baltimore, MD
|  | $9,266 |
| 17-00865 | 08/17/2017 | Claimant(s): Howard Mirvis
Claimant Lawyers(s): Dana Sirkis Gloor
Respondent(s): Legg Mason Investor Services
Respondent Lawyers(s): Gretchen Klebasko
Arbitrator(s): Vicky L. Orem
Hearing Site: Baltimore, MD
| | |
| 14-02323 | 12/15/2015 | Claimant(s): Janice Toran, Robert Bogomolny
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith Esq.
Arbitrator(s): Mary E. Woytek, Vicky L. Orem, Basheera-Alia James
Hearing Site: Baltimore, MD
| | $0 |
| 14-00531 | 07/02/2015 | Claimant(s): Dennis Sellers
Claimant Lawyers(s): Joshua B. Kons
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Vicky L. Orem
Hearing Site: Richmond, VA
| | Expungement |
| 13-03068 | 12/04/2014 | Claimant(s): Kevin Rodriguez
Claimant Lawyers(s): Jason W. Gaarder
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillps
Arbitrator(s): Shahla Butler, Vicky L. Orem, Thomas James Hirsch
Hearing Site: Baltimore, MD
| | $0 |
| 13-00114 | 10/15/2014 | Claimant(s): Christine Nielson
Claimant Lawyers(s): Thomas P. Willcutts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Vicky L. Orem, Sandra Holmes, Peter H. Goldberg
Hearing Site: Baltimore, MD
| | Expungement |
| 11-02327 | 03/14/2013 | Claimant(s): Dorothy Burhans, Winslow Burhans, A Testamentary TR ENT Share B
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): Richard E. Lauziere, Vicky L. Orem, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | Expungement |
| 10-04075 | 10/04/2012 | Claimant(s): Cheryl Wittmann, Robert Wittmann
Claimant Lawyers(s): D. Waxton White
Respondent(s): Marilee Hill, Steven L. Falk & Associates Inc.
Respondent Lawyers(s): H. Thomas Fehn, Steven L. Falk
Arbitrator(s): Douglas Earl McLaren, Jane F. Moore, Vicky L. Orem
Hearing Site: Baltimore, MD
| | $61,600 |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
| | $891,856 |
