| 14-01424 | 05/17/2017 | Claimant(s): Roger Donenfeld, Roger F. Donenfeld IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Terpak, National Securities Corporation, Melvin Stoutenburg, Mohammed Sheikh
Respondent Lawyers(s): Michael P. Gilmore, Randall C. Place
Arbitrator(s): Michael M. Hachigian, Robert E. Jenks, Madina C. Boland
Hearing Site: Los Angeles, CA
|  | Expungement |
| 13-03717 | 02/14/2017 | Claimant(s): The Fideicomiso Santa Barbara Trust
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Randi Perry Spallina, Ross Firsenbaum
Arbitrator(s): Jerrold Levine, Richard S. Herman, Carl Henry Perdue
Hearing Site: Miami, FL
| | $363,875 |
| 15-01842 | 08/02/2016 | Claimant(s): Andrew Wilkinson
Claimant Lawyers(s): Randall C. Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard H. Potter, Kenneth Hoffner, Dana Tait Sandlin
Hearing Site: Charlotte, NC
| | $98,750 |
| 14-03202 | 01/21/2016 | Claimant(s): Glenda McCarty, Harlan McCarty
Claimant Lawyers(s): Randall C. Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | Expungement |
| 12-03658 | 05/15/2014 | Claimant(s): Roslyn Hazan
Claimant Lawyers(s): Randall C. Place
Respondent(s): Eli Hazan, Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham, Randall C. Place
Arbitrator(s): Steven N. Ainbinder, Michael Lau, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02829 | 04/24/2014 | Claimant(s): Joel Levine
Claimant Lawyers(s): Randall C. Place
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony John Fisher
Arbitrator(s): Alyson R. Dachelet
Hearing Site: Boca Raton, FL
| | $50,600 |
| 12-03934 | 04/10/2014 | Claimant(s): Herbert Richman
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Michael A. Levin, Ellen J. Abrams, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | $150,250 |
| 12-03564 | 10/17/2013 | Claimant(s): Apostle Solomon
Claimant Lawyers(s): Randall C. Place
Respondent(s): Adam Rosenfeld, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge, Richard L. Martens
Arbitrator(s): Mark C. Perry, Edward R. Niederriter, Ken Ziesenheim
Hearing Site: Miami, FL
| | Expungement |
| 11-04023 | 12/21/2012 | Claimant(s): Peter Zervos
Claimant Lawyers(s): Randall C. Place
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bruce W. Bennett
Hearing Site: Columbia, SC
| | Expungement |
| 09-05793 | 10/05/2011 | Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
| | $248,874 |
