| 18-03530 | 04/12/2019 | Claimant(s): Johnson Andrews
Claimant Lawyers(s): Johnson George Andrews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert A. Cohen, Roger B. Jacobs, Harrison Johnson
Hearing Site: New York, NY
|  | Expungement |
| 15-02488 | 12/07/2016 | Claimant(s): Karl Roberts
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Casey Rodriguez, Richard Brown, Brookstone Securities.
Respondent Lawyers(s): Casey Thomas Rodriguez, David W. Locy, Richard Lydon Brown
Arbitrator(s): Roger B. Jacobs
Hearing Site: New York, NY
| | $72,358 |
| 14-02369 | 06/26/2015 | Claimant(s): William Paul, IRA
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Sam Antar, Roger B. Jacobs, Steven C. Kasarda
Hearing Site: New York, NY
| | Expungement |
| 13-02580 | 05/22/2015 | Claimant(s): Linda Pennfield
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Michael J. Maran, Linda J. Baer, Roger B. Jacobs
Hearing Site: New York, NY
| | $0 |
