| 13-02990 | 02/25/2015 | Claimant(s): Belgica Vidal
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Rebecca A. Novak, Doris Lindbergh, Christine Moore
Hearing Site: New York, NY
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| 14-02514 | 02/24/2015 | Claimant(s): Evan Pedone
Claimant Lawyers(s): Evan M. Pedone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Audrey Belitz Rauchway
Hearing Site: Tampa, FL
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| 14-00021 | 02/23/2015 | Claimant(s): Casto Colldelrio
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): James S. Hazard, Mary P. Bass, Paul George Huck
Hearing Site: New York, NY
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| 14-02105 | 02/23/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): Rey Deborja
Respondent Lawyers(s): Rey Dante Deborja
Arbitrator(s): Thomas C. McNally
Hearing Site: San Francisco, CA
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| 14-02586 | 02/20/2015 | Claimant(s): Newport Group Securities.
Claimant Lawyers(s): Hope L. Newsome
Respondent(s): Michael Lee
Respondent Lawyers(s): Michael David Lee
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
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| 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
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| 14-00879 | 02/18/2015 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): Charles Grimes
Respondent Lawyers(s): David E. Grimes
Arbitrator(s): Susan K. Hollenbach, Randall S. Strause, Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | Expungement |
| 14-01136 | 02/18/2015 | Claimant(s): Daniel Head
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Reecie Stagnolia
Respondent Lawyers(s): August M. Iorio
Arbitrator(s): Joseph L. Bernstein, David P. Slater, Lucie L. Sabella
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02987 | 02/18/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Gary Schwarcz
Respondent Lawyers(s): Gary Alan Schwarcz
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
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| 14-00744 | 02/13/2015 | Claimant(s): Julie Farkas
Claimant Lawyers(s): Julie B. Farkas
Respondent(s): Amy Brannen, Wells Fargo Advisors, Jennifer Reigle, John Gardner, Michael Brannen, Sheila Kerr
Respondent Lawyers(s): William W. Allen
Arbitrator(s): Allan Weiss, Jan M. West, James Douglas Wilbanks
Hearing Site: Louisville, KY
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