| 14-00668 | 03/18/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Patrick Mcgrath
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
| 14-00821 | 02/18/2015 | Claimant(s): Ileana Platt, Rafael Urquidi
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Jerrold Levine, Andrea R. Jacobs, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | |
| 12-03797 | 02/02/2015 | Claimant(s): Marcos Bowers
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb, Jr.
Arbitrator(s): Richard S. Zaifert, John C. Holmes, Michael S. Kozlow
Hearing Site: Miami, FL
| | |
| 14-01669 | 01/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Carlos Peyer
Respondent Lawyers(s): Carlos Luis Peyer
Arbitrator(s): Peter A. Portley
Hearing Site: Miami, FL
| | |
| 14-00412 | 10/15/2014 | Claimant(s): Jose Valenzuela, PFS Investments Inc.
Claimant Lawyers(s): Mark F. Raymond
Respondent(s): Deborah Stubbs, Harold Thomas, Victoria Smith
Respondent Lawyers(s): Frank R. Rodriguez
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
| | Expungement |
| 14-00553 | 10/01/2014 | Claimant(s): Anthony Lodati
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Robert Peyser
Respondent Lawyers(s): Robert V. Cornish
Arbitrator(s): Michael T. Williams, Alyson R. Dachelet, Lisa Marie Macci
Hearing Site: Miami, FL
| | Expungement |
| 11-04800 | 08/25/2014 | Claimant(s): Edward Chiappara
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Trust Company, N.A.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Melanie S. Cherdack, Marie Paulette Levine, Jeffrey R. Roth
Hearing Site: Miami, FL
| | |
| 14-00037 | 08/25/2014 | Claimant(s): Francisco Pascual
Claimant Lawyers(s): Francisco Pascual
Respondent(s): Beta Capital Management, L.P.
Respondent Lawyers(s): Robert T. Kofman
Arbitrator(s): John Richard Lynch
Hearing Site: Miami, FL
| | |
| 13-00793 | 06/13/2014 | Claimant(s): Jorge Gutierrez
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Jason Barger, Schroder Fund Advisors LLC
Respondent Lawyers(s): Stephen Asay, Thomas Hill
Arbitrator(s): Monica I. Salis, Michael Todd Clements, James M. Scutti
Hearing Site: Miami, FL
| | |
| 13-02237 | 05/14/2014 | Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
| | |
