| 17-01340 | 09/26/2018 | Claimant(s): David Beam, The Estate of Doris P. Beam, David M. Beam Irrevocable Trust
Claimant Lawyers(s): Sam McGee
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Christopher D. Tomlinson
Arbitrator(s): Emily Eiselman Hunter, Susan L. Luck, Ronald Tuttle Osborn
Hearing Site: Charlotte, NC
|  | Dismissed by Rule 12206 |
| 15-00443 | 07/11/2016 | Claimant(s): Barbara Bond, Roger Bond, Barbara J. Bond IRA, Roger K. Bond IRA, Barbara J. Bond Trust dtd 10/23/2006, Roger K. Bond Trust dtd 10/23/2006
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Frederick Baerenz
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Mary E. Woytek, Emily Eiselman Hunter, Walter Peterson
Hearing Site: Washington, DC
| | $331,000 |
| 15-00876 | 04/21/2016 | Claimant(s): Lewis Roberts
Claimant Lawyers(s): Donald J. McCartney
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary J. Lieberman
Arbitrator(s): Daniel J. Donovan, Emily Eiselman Hunter, James Drew Butler
Hearing Site: Baltimore, MD
| | |
| 13-02352 | 10/05/2015 | Claimant(s): Mark Burkhardt
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Kirk Stager, Lawrence Brazie, Westminster Financial Advisory, Westminster Financial Securities.
Respondent Lawyers(s): George A. Katchmer
Arbitrator(s): Emily Eiselman Hunter, Robert H. Boorman, Robert Field
Hearing Site: Washington, DC
| | |
| 13-00294 | 02/02/2015 | Claimant(s): Jameson Hamilton, Jeffrey Sciscilo, Jennifer Reiley, Joshua Goulding, McLaughlin Ryder Advisory Services, McLaughlin Ryder Investments.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Kelly Campbell, Campbell Financial Management., Campbell Wealth Management.
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Emily Eiselman Hunter, Robert Vaughan Cornish, Robert Field
Hearing Site: Washington, DC
| | |
| 14-00741 | 09/29/2014 | Claimant(s): Darien Buinicki
Claimant Lawyers(s): Darien P. Buinicki
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Emily Eiselman Hunter
Hearing Site: Baltimore, MD
| | $300 |
| 12-02723 | 12/04/2013 | Claimant(s): Deborah Mellis
Claimant Lawyers(s): Stephen G. Cochran
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Emily Eiselman Hunter
Hearing Site: Washington, DC
| | |
| 13-00475 | 11/01/2013 | Claimant(s): Juan Ona
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jordan D. Maglich
Arbitrator(s): Emily Eiselman Hunter, Judith B. Ittig, Gerald B. Marcovsky
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 09-00144 | 09/21/2010 | Claimant(s): CoStar Group.
Claimant Lawyers(s): Brian J. Fischer
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Emily Eiselman Hunter, T.S.L. Perlman, Walter Peterson
Hearing Site: Washington, DC
| | $0 |
| 07-03572 | 01/30/2009 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Joseph J. Sullivan
Respondent(s): Robert Lynn
Respondent Lawyers(s): Gilbert W. Boyce
Arbitrator(s): Wendie L. Wachtel, Maurice R. Dunie, Emily Eiselman Hunter
Hearing Site: Washington, DC
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