| 17-00129 | 05/18/2018 | Claimant(s): Wood Breazeale
Claimant Lawyers(s): James F. Willeford
Respondent(s): Regan Leopold, Lincoln Financial Distributors.
Respondent Lawyers(s): Nancy Scott Degan
Arbitrator(s): Jeff Abrams, Lynne R. Stern, Brian P. Jakes
Hearing Site: New Orleans, LA
|  | Expungement |
| 14-02731 | 01/29/2018 | Claimant(s): Maemar Holdings Corp.
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Jose Ramos Rios, Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): James W. Geiger, Brian P. Jakes, George Pinckney Shingler
Hearing Site: San Juan, PR
| | Expungement |
| 14-00966 | 02/19/2016 | Claimant(s): The Estate of Gabriel J. Cadenas
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Lawrence E. Fenster, Roberto Quinones
Arbitrator(s): Charles Hoffman, Marie G. Peterson, Brian P. Jakes
Hearing Site: San Juan, PR
| | $0 |
| 14-02679 | 10/20/2015 | Claimant(s): Michael C. Shean, IRA, Suzanne T. Shean, Marcus Wallace or Melinda Wallace
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Christopher Fulco, Edward Zelezen, Pershing LLC, John Ward, Ronald Artzi
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Ron C. Christner, Robert E. Graves, Brian P. Jakes
Hearing Site: Jackson, MS
| | Expungement |
| 14-01784 | 09/09/2015 | Claimant(s): Berta Ganapolsky
Claimant Lawyers(s): Jonathan F. Claussen
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Asset Managers of Puerto Rico, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Gregg M. McCormick, Roberto C. Quinones
Arbitrator(s): Monroe Mitchel, Brian P. Jakes, Richard Merritt Langway
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 13-01964 | 03/04/2015 | Claimant(s): Brian Matherne
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): Daniel J. Pagnano, David Walton Earle, Brian P. Jakes
Hearing Site: New Orleans, LA
| | Expungement |
| 14-00556 | 11/18/2014 | Claimant(s): Mississippi Baptist Health Systems.
Claimant Lawyers(s): Frank Iacono
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): James Kee Irvin, Onnig Hatchig Dombalagian, Brian P. Jakes
Hearing Site: Jackson, MS
| | Dismissed by Rule 12206 |
| 13-01692 | 11/03/2014 | Claimant(s): Anita Carter, Bruce Smith, Charles Gruenwald Jr., Clyde Chisholm, Cynthia Dore, Don Landers, Fred Demarest, Gail Unglesby, George Forbes, Jason Graham, Jean Mayhall, Jerry Burris, Jessie Romig, John Wade, Jon Goeckel, Joseph Becker, Lynn Philippe, Mallory D'Amore, Mamie Baumann, Martha Witmer, et al
Claimant Lawyers(s): Chuck Gordon, Crystal Burkhalter, John Grinton, Phillip Preis
Respondent(s): Pershing LLC
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Michele N. O'Brien, Brian P. Jakes, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
| | $10,000 |
| 09-05843 | 05/02/2013 | Claimant(s): Beatrice Pigno, Carolyn Andre, Chia Liu, Chu Mein, Clifton Dufour, Cody Milton, David Stelly, Dolores Perry, Eric Pace, George Quartano, Gerald Perry, Jean Tsai, John Murphy, John Templet, Jung Lo, Lisa Dufour, Lola Stelly, Loleta Soloman, Marc Stelly, Pat Milton, et al
Claimant Lawyers(s): Lance C. McCardle, W. Andrew Clayton
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Clayton J. Borne, Brian P. Jakes, Richard J. Clement
Hearing Site: New Orleans, LA
| | Expungement |
| 08-04168 | 11/20/2009 | Claimant(s): Amar Paul Sawhney
Claimant Lawyers(s): Amar Paul Singh Sawhney
Respondent(s): Brian Furrow, Frank Sullivan, TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Robert C. Upton, Allen J. Krouse, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $0 |
