| 19-01542 | 07/26/2022 | Claimant(s): Alpha Quantum LLC c/o Jose Michelen
Claimant Lawyers(s): David E. Robbins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Steven Gerard Goerke, Jane A. Smith, Robert G. Geeseman
Hearing Site: Boca Raton, FL
|  | $0 |
| 14-01134 | 10/28/2021 | Claimant(s): Juan Trinidad-Garcia, Juan Felix Trinidad-Rodriguez
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Langfred W. White, Gloria O. North, Jane A. Smith
Hearing Site: San Juan, PR
| | $6,876,100 |
| 16-00737 | 02/12/2019 | Claimant(s): R. A. Rosario, for his Retirement Plan
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Thomas Joseph Atkinson, Jane A. Smith, Neil Harvey Smith
Hearing Site: San Juan, PR
| | $135,630 |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 16-02916 | 04/24/2017 | Claimant(s): Gary Harris
Claimant Lawyers(s): Gary G. Harris
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Theodore R. Bynum
Arbitrator(s): Jane A. Smith, Neil Harvey Smith, William Scarr Shefte
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 14-02899 | 10/29/2015 | Claimant(s): Alaleh Banafshe and Saied Banafshe
Claimant Lawyers(s): Saied Banafshe
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 14-01691 | 01/09/2015 | Claimant(s): Securities Investor Protection Corp.
Claimant Lawyers(s): Hemant Sharma
Respondent(s): Joan Perry, Take Charge Financial
Respondent Lawyers(s): Joan A. Perry, Joan Anne Perry
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
| | $100,000 |
| 12-02268 | 07/31/2014 | Claimant(s): Joanna Lyon, Ray Lyon
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Douglas Earl McLaren, Jonathan K. Tycko, Jane A. Smith
Hearing Site: Washington, DC
| | Expungement |
| 11-02178 | 01/08/2013 | Claimant(s): Chaiha Rhee, Diane Weeks, Gerald Chickillo, Jack Duncan, Janet Murphy, Linda Chernisky, Tonya Chickillo, RT Solutions, Estate of Wesley Weeks by Diane Weeks,
Claimant Lawyers(s): John S. Chapman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Paul Davis Pearlstein, Michael R. Snow, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 11-01874 | 07/16/2012 | Claimant(s): Frank Steinke, Frank C. Steinke Rev. Lvg TRT UAD 8/7/07
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Nicholas D. Skaltsounis, Custodian
Arbitrator(s): Marvin Elster, Jane A. Smith, Lisa Blunk Johnson
Hearing Site: Washington, DC
| | $6,375 |
