| 22-01195 | 08/30/2023 | Claimant(s): James Fayssoux, Sr.
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): SW Financial
Respondent Lawyers(s): Axos Clearing
Arbitrator(s): Roger C. Benson, Bernadette F. Rasmussen, William Finley Hamel
Hearing Site: Columbia, SC
|  | $3,193,550 |
| 20-01201 | 09/01/2022 | Claimant(s): The Barbara M. Estay Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borelli
Arbitrator(s): Roger C. Benson, Alan E. Linden, Lynda Joyce Howell
Hearing Site: Raleigh, NC
| | $468,126 |
| 21-02446 | 06/07/2022 | Claimant(s): Scott Keck
Claimant Lawyers(s): Aaron C. Hemmings
Respondent(s): MML Investors Services, MSI Financial Services., Metropolitan Life Insurance Company
Respondent Lawyers(s): Peter R. Pound
Arbitrator(s): Roger C. Benson, Charles Diederich Heidgerd, Karen A. West
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206 |
| 21-00506 | 02/15/2022 | Claimant(s): David Anderson
Claimant Lawyers(s): David Anderson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Roger C. Benson, James A. McIntosh, Robert Lane Arrington
Hearing Site: Nashville, TN
| | Dismissed by Rule 12504 |
| 20-03950 | 01/18/2022 | Claimant(s): Janette Bossier, Blane Bossier on Behalf of His IRA, Janette Bossier as Administrator of the, Leonard Bossier IRA, Leonard Bossier SEP
Claimant Lawyers(s): Frank C. Breese
Respondent(s): Edward Jones, Kenneth Knopp
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Roger C. Benson, Kenneth R. Starr, Harvey R. Linder
Hearing Site: Jackson, MS
| | Expungement |
| 18-02477 | 08/29/2019 | Claimant(s): Edelgard Hosmer Trust U/A dated 5/1/07, Edward J. Hosmer, Edward J. Hosmer Trust U/A dated 5/1/07
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Roger C. Benson, David M. Snyder, Richard Manuel Barcia
Hearing Site: Tampa, FL
| | $100,000 |
| 16-02528 | 05/20/2019 | Claimant(s): Carmen Macias, Pedro Diez, Pedro Diez Macias, Vissepo & Diez Construction Corp., Diez Macias 1 Trust, Pefedima Trust
Claimant Lawyers(s): Jeffrey Erez, Lloyd R. Schewd
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Roger C. Benson, Mauricio Arcadier, Robert Stewart Barney
Hearing Site: San Juan, PR
| | $7,839,130 |
| 14-03606 | 07/27/2016 | Claimant(s): The Adventure Group Revocable Living
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Lawson Financial Corporation
Respondent Lawyers(s): Daniel P. Dietrich
Arbitrator(s): Roger C. Benson
Hearing Site: Tampa, FL
| | $523,617 |
