| 12-01637 | 11/19/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Sean Pepe
Respondent Lawyers(s): Sean Phillip Pepe
Arbitrator(s): Stuart H. Dunn
Hearing Site: Norfolk, VA
| | |
| 11-00720 | 05/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Mark Magnone
Respondent Lawyers(s): William A. Healy
Arbitrator(s): Peter B. Vaden, Laurence M. Scoville, William James Russell
Hearing Site: Norfolk, VA
| | |
| 10-05018 | 02/16/2012 | Claimant(s): Cheryl Lisa Gibson
Claimant Lawyers(s): Julia A. Epps
Respondent(s): Ameriprise Financial Services., Robert Yeh
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Maurice R. Dunie
Hearing Site: Norfolk, VA
|  | $0 |
| 10-01652 | 06/20/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): James Godsey
Respondent Lawyers(s): Gary C. Byler
Arbitrator(s): C. Gregory Ellison, Michael E. Scullin, Donita M. King
Hearing Site: Norfolk, VA
| | |
| 10-02564 | 05/10/2011 | Claimant(s): Pandora Lupino
Claimant Lawyers(s): Theresa L Joseph
Respondent(s): Brian Krovic
Respondent Lawyers(s): Brian Krovic
Arbitrator(s): Robert Charkovsky
Hearing Site: Norfolk, VA
| | $2,500 |
| 10-00181 | 07/19/2010 | Claimant(s): Hintze Family Revocable Living Trust
Claimant Lawyers(s): Ronald M. Hintze
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Janice L. Burnham
Hearing Site: Norfolk, VA
| | $25,425 |
| 09-05123 | 02/11/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Thomas B. Corey
Hearing Site: Norfolk, VA
| | |
| 09-01078 | 09/15/2009 | Claimant(s): Elaine Lustig
Claimant Lawyers(s): Elaine B. Lustig
Respondent(s): Barry Pollara, UBS Financial Services Inc., Linda Inman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael H. McConihe
Hearing Site: Norfolk, VA
| | $1,510 |
| 07-01872 | 06/13/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gary Compton
Respondent Lawyers(s): Gary R. Compton
Arbitrator(s): John J. Muldowney, Sidney L. Sussman, Glenn H. Catalano
Hearing Site: Norfolk, VA
| | |
| 06-03921 | 12/18/2007 | Claimant(s): Sharon Opfer
Claimant Lawyers(s): Benjamin R. Prell
Respondent(s): LifeMark Securities Corp.
Respondent Lawyers(s): Edwin M. Larkin
Arbitrator(s): William R. Waddell, Jack Rephan, James Tyler Pugh
Hearing Site: Norfolk, VA
| | $0 |
