| 22-01662 | 12/13/2023 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Bernard J. Kornberg
Respondent(s): Brian Dunn
Respondent Lawyers(s): Joshua Norton
Arbitrator(s): Edward Turner Borer, Louis H Miron, Peter H. Goldberg
Hearing Site: Wilmington, DE
| | |
| 23-00052 | 12/04/2023 | Claimant(s): Wallace Suku
Claimant Lawyers(s): Wallace W. Suku
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard E. Lauziere, Peter H. Goldberg, Ronald Kalungi
Hearing Site: Washington, DC
|  | $0 |
| 20-01787 | 08/23/2021 | Claimant(s): Allison Walk, Stephen Walk
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye
Hearing Site: Baltimore, MD
| | $405,000 |
| 18-04133 | 12/12/2019 | Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-01147 | 10/10/2019 | Claimant(s): Virginia Transfomer., Prabhat Jain, Santosh Jain
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Elliot B. Platt, Donita M. King, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg
Hearing Site: San Juan, PR
| | Expungement |
| 14-00305 | 08/13/2015 | Claimant(s): Laura Hunsicker
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Bryon P. Fusini, Douglas Earl McLaren, Peter H. Goldberg
Hearing Site: Washington, DC
| | |
| 12-02766 | 02/17/2015 | Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $666,618 |
| 13-00612 | 10/21/2014 | Claimant(s): Kerry Edwards
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins, Jeffrey K. Compton
Arbitrator(s): Caryl S. Bernstein, Peter H. Goldberg, Karla Jayne Letsche
Hearing Site: Washington, DC
| | $100,250 |
