| 13-03520 | 02/17/2017 | Claimant(s): Luis Romero Lopez, Luis R. Romero Lopez Pledged Collateral
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones-Rivera
Arbitrator(s): Joyce F. Glucksman, Reinaldo Royo, Robert J. Buchner
Hearing Site: San Juan, PR
|  | $10,000,000 |
| 12-01827 | 09/16/2013 | Claimant(s): John Lott
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joyce F. Glucksman, Samuel C. Johnson, Laree Payne Kennedy
Hearing Site: Birmingham, AL
| | Expungement |
| 08-02838 | 04/08/2009 | Claimant(s): RPM 006 Sigma Press Inc 401K Profit Shar
Claimant Lawyers(s): Donald T. Sapit
Respondent(s): Johnthomas Cumbow, Joseph Agee, Joseph Ranucci, Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Joyce F. Glucksman
Hearing Site: Atlanta, GA
| | $213 |
| 08-00315 | 11/04/2008 | Claimant(s): Aubrey Wright and Martha Wright
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Perry Lee Taylor, Joyce F. Glucksman, Robert A. Dean
Hearing Site: Atlanta, GA
| | $90,352 |
