| 16-02491 | 05/04/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Monica Garcia
Respondent Lawyers(s): Everardo B. Garcia
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
|  | $0 |
| 14-01450 | 01/03/2017 | Claimant(s): WRI Vending Machines.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez Freire
Arbitrator(s): Michael S. Yauch, Joseph Neal Richardson, Maria Eliz Hernandez
Hearing Site: San Juan, PR
| | $983,336 |
| 15-00295 | 09/09/2016 | Claimant(s): Jenny Robles Adorno, Jose Rivera Riera, Desarrollos Jarra S.E.
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Edwin A. Zipf, Roberto C. Quinones
Arbitrator(s): Thomas Joseph Atkinson, Donald Theodore Ryce, Michael S. Yauch
Hearing Site: San Juan, PR
| | $750,000 |
| 15-01537 | 04/21/2016 | Claimant(s): Francis Freeman
Claimant Lawyers(s): Vincent J. Booth
Respondent(s): Wells Fargo Advisors, David Matty
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Lawrence R. Maxwell, Coleman Robert Perry, Michael S. Yauch
Hearing Site: Dallas, TX
| | $0 |
| 14-02928 | 05/15/2015 | Claimant(s): Sidney Saxon IRA
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $300 |
| 14-00905 | 09/24/2014 | Claimant(s): Konrad Molski
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 12-01485 | 12/18/2013 | Claimant(s): Gaile Withers
Claimant Lawyers(s): Cynthia R. Levin Moulton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Jeffrey R. Jury, Michael S. Yauch, Michael Louis Goldstone
Hearing Site: Houston, TX
| | Expungement |
| 12-03941 | 10/29/2013 | Claimant(s): Joseph P. Ahern Revocable Trust
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Raymond L. Britton, John K. Boyce, Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 09-05503 | 05/24/2011 | Claimant(s): Boushy North Investments Ltd.
Claimant Lawyers(s): Paul I. Aronowitz
Respondent(s): Penson Financial Services, Second Mile Wealth Management.
Respondent Lawyers(s): Matthew G. Nielsen, Will S. Montgomery
Arbitrator(s): Bernard D. Hammer, Kurt D. Steiner, Michael S. Yauch
Hearing Site: Houston, TX
| | $500,000 |
| 08-04559 | 12/23/2009 | Claimant(s): James R. Smith and Carol A. Smith
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Susan A. Logsdon
Arbitrator(s): Mary Ann Tunick, Charles E. Munson, Michael S. Yauch
Hearing Site: Houston, TX
| | $123,324 |
