| 16-01865 | 04/26/2018 | Claimant(s): Wilson Colberg Trigo
Claimant Lawyers(s): Enrique J. Mendoza-Mendez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis, Kathryn D. Perreault
Arbitrator(s): Caryl S. Bernstein, Earle J. Schwarz, Orville Theodore McCormac
Hearing Site: San Juan, PR
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| 12-04365 | 06/13/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Gregory Andrews
Respondent Lawyers(s): Gregory A. Andrews
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
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| 11-04756 | 04/23/2013 | Claimant(s): Gerald Peragine
Claimant Lawyers(s): Jim Moyles
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Joseph F. Pittelli, Caryl S. Bernstein, Jacquelyn M. Shannon
Hearing Site: Wilmington, DE
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| 12-00781 | 03/14/2013 | Claimant(s): L. Downs
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Donald Newlin, Gordon Crenshaw, James Newton, Milton Turner, William McCall
Respondent Lawyers(s): Dennis Ahearn, Justin Joseph D'Elia, Todd A. Zuckerbrod
Arbitrator(s): Caryl S. Bernstein, Janice L. Burnham, Mark Cammann Pyle
Hearing Site: Richmond, VA
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| 10-01398 | 05/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Christopher Cunningham
Respondent Lawyers(s): Thomas P. Silis
Arbitrator(s): Bonnie K. Wachtel, Caryl S. Bernstein, Karen L. Crump-Wilson
Hearing Site: Washington, DC
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| 10-04231 | 03/14/2011 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): James R. McGonigle & Kathleen C. McGonig
Respondent Lawyers(s): James R. McGonigle
Arbitrator(s): Alan J. Blocher, Caryl S. Bernstein, Edward T. Moody
Hearing Site: Wilmington, DE
| | Stipulated Award |
| 10-00405 | 03/08/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Richard Cobb
Respondent Lawyers(s): Richard Cobb
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Raleigh, NC
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| 09-05313 | 01/20/2011 | Claimant(s): Clarence Taylor, Jason Haddaway, Jonathan Bjoring, Michael Gray
Claimant Lawyers(s): Thomas Earl Patton
Respondent(s): Banc of America Investment Services Inc., Bank of America Corporation
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Bonnie K. Wachtel, William H. Malloy, Caryl S. Bernstein
Hearing Site: Washington, DC
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| 09-06146 | 11/17/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Sean Ruehl
Respondent Lawyers(s): Sean Ruehl
Arbitrator(s): Robert P. Porter, Caryl S. Bernstein, Karen J. Montgomery
Hearing Site: Raleigh, NC
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| 08-02776 | 03/19/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Andrew Kistler, Brian Ainge, Charles Chambers
Respondent Lawyers(s): Edward Walton, Jody A. Rosen
Arbitrator(s): Caryl S. Bernstein, Baunita M. Greer, Karen L. Crump-Wilson
Hearing Site: Washington, DC
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