15-00777 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Jeffrey Smith Respondent Lawyers(s): Jeffrey H. Smith Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark Hearing Site: Norfolk, VA
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14-00091 | 02/09/2016 | Claimant(s): Rodney Shuck, April C. Shuck JTWROS w/Rodney Shuck Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Robert Charkovsky, William P. Loughnane, Marcus G. Lashley Hearing Site: Norfolk, VA
| | Expungement |
14-03531 | 01/19/2016 | Claimant(s): Estate of Glenny B. White Claimant Lawyers(s): W. Edgar Spivey Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Ronald P. Kane Arbitrator(s): Michael J. Henke, Wesley C. Wilson, Ross E. Legum Hearing Site: Norfolk, VA
| | $2,036,890 |
14-02428 | 10/14/2015 | Claimant(s): Donald Young, Mary Young Claimant Lawyers(s): James P. Lucking Respondent(s): Christos Kalatoudis Respondent Lawyers(s): Christos A. Kalatoudis Arbitrator(s): Wesley C. Wilson, Robert S. Zuckerman, Shelley Simons Korch Hearing Site: Norfolk, VA
| | $177,409 |
14-02206 | 10/02/2015 | Claimant(s): Andrew Alexander, Plantations at Haywood 5, TIC Hunters Chase 18 Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Centaurus Financial. Respondent Lawyers(s): Sean M. Golden Arbitrator(s): Robert S. Zuckerman, Donita M. King, Overman Randolph Rollins Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
13-02047 | 06/10/2015 | Claimant(s): Linnea Sams, Linnea B. Sams Revocable Living Trust Claimant Lawyers(s): Kalju Nekvasil Respondent(s): National Securities Corporation, Louis Rogers Respondent Lawyers(s): Todd Ratner Arbitrator(s): Robert S. Zuckerman, Donald B. Katz, Michael Andrew Glasser Hearing Site: Norfolk, VA
| | Expungement |
14-02325 | 05/15/2015 | Claimant(s): Donna Alessio Claimant Lawyers(s): Donna J. Alessio Respondent(s): Valic Financial Advisors. Respondent Lawyers(s): Kortney Farmer Arbitrator(s): Edward R. Hipp, Henry G. Plaster, Harry J. Haynsworth Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
13-03335 | 01/07/2015 | Claimant(s): Lucille Saunders Claimant Lawyers(s): W. Edgar Spivey Respondent(s): Anderson & Strudwickorporated Respondent Lawyers(s): Wilburn Doyle Arbitrator(s): Douglas Earl McLaren Hearing Site: Norfolk, VA
| | $0 |
14-01781 | 10/09/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Alex M. Komoroski Respondent(s): Jeffrey Whitaker Respondent Lawyers(s): Jeffrey Lee Whitaker Arbitrator(s): Peter B. Vaden Hearing Site: Norfolk, VA
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13-01847 | 07/02/2014 | Claimant(s): Esther Huie, Richard Huie Claimant Lawyers(s): W. Edgar Spivey Respondent(s): Mark Harrop, Investors Capital Corp. Respondent Lawyers(s): Thomas G. Nicholson Arbitrator(s): Henry G. Plaster, Donita M. King, Ross E. Legum Hearing Site: Norfolk, VA
| | $36,000 |