| 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 |
| 16-01279 | 11/29/2016 | Claimant(s): Diane Back
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): JP Morgan Institutional Investments Inc.
Respondent Lawyers(s): Luis F. Calvo
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 16-00021 | 11/28/2016 | Claimant(s): Linda Anthony
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): MML Investors Services, Voya Financial Advisors.
Respondent Lawyers(s): Bryce Benson, William P. Thornton
Arbitrator(s): Dale C. Putman, Susan A. Berson, Joseph Neal Richardson
Hearing Site: Wichita, KS
| | Expungement |
| 14-03016 | 03/24/2016 | Claimant(s): Carlos L. Merced, Obdulio Melendez Ramos, Ramon Velez Garcia
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Frederick H. Bruce, Edward Arthur Horton, Joseph Neal Richardson
Hearing Site: San Juan, PR
| | $470,804 |
| 12-03229 | 10/07/2013 | Claimant(s): Noel Brown
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): James Bell, James Clark, Worth Financial Group Inc.
Respondent Lawyers(s): James W. Clark, James Wiley Bell
Arbitrator(s): Arthur H. Geffen, Joann Peters, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $30,435 |
| 12-02434 | 07/12/2013 | Claimant(s): Elizabeth Gandy, Steven Burrus
Claimant Lawyers(s): Bryan D. Perkins
Respondent(s): USAA Federal Savings Bank, USAA Investment Management Company
Respondent Lawyers(s): Theodore Schultz
Arbitrator(s): Robert J. Gregory, Dineo Coleman Gary, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
