| 13-02974 | 12/30/2014 | Claimant(s): Ashraf Elghandour
Claimant Lawyers(s): Brian D. Spector
Respondent(s): James Turner, UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Charles L. Prothero, Chris P. Drucker, Robert E. Anderson
Hearing Site: Newark, NJ
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| 13-03186 | 12/30/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Robert Nagy
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Kimberly A. Gilmour, John E. Sutton, Bernice Leah Stander
Hearing Site: Boca Raton, FL
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| 14-00519 | 12/30/2014 | Claimant(s): Danford Meischen
Claimant Lawyers(s): Jeffrey Glass
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason K. Roberts
Arbitrator(s): Reginald Harris Brockwell, Allan R. Lazor, Jason Kyle Beale
Hearing Site: Houston, TX
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| 13-03622 | 12/29/2014 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): John G. McDonald
Respondent(s): Ronald Pyle
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): C. Marcus Harris, M. Bruce Adelberg, Walter J. Wylie
Hearing Site: Columbia, SC
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| 14-01222 | 12/29/2014 | Claimant(s): Scott Notowitz
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Robert A. Sauerberg, Walter John Chesney, Theodore Israel Herold
Hearing Site: Boca Raton, FL
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| 14-01606 | 12/29/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Respondent Lawyers(s): William Young
Arbitrator(s): Leonard E. Benade, Timothy J. Wright, Lynne T. Albert
Hearing Site: Raleigh, NC
| | Expungement |
| 14-02041 | 12/26/2014 | Claimant(s): Lillian Seidman
Claimant Lawyers(s): Lillian B. Seidman
Respondent(s): Miller Tabak + Co.
Respondent Lawyers(s): Jeffrey Miller
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
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| 14-01221 | 12/24/2014 | Claimant(s): Douglas Adams
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert A. Sauerberg, David E. Mowry, Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 12-03433 | 12/23/2014 | Claimant(s): Scott Mccaskill
Claimant Lawyers(s): David J. Cosgrove
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Douglas Earl McLaren, Ezio E. Borchini, Tina E. Patterson
Hearing Site: Baltimore, MD
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| 13-03314 | 12/23/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michelle Powlison
Respondent Lawyers(s): Michelle Renae Powlison
Arbitrator(s): O. Meredith Wilson, John F. Harris, Keith C. Folkman
Hearing Site: Portland, OR
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