17-02244 | 11/17/2020 | Claimant(s): Kyle Busch, Samantha Busch Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Charles Parks, C.F. Parks & Co.., Commonwealth Financial Network Respondent Lawyers(s): Peter B. King Arbitrator(s): Patricia Ann Tracey, Richard E. Miley, James Howell Garrison Hearing Site: Charlotte, NC
| | $135,000 |
16-00150 | 12/19/2019 | Claimant(s): Joseph Long, Joseph Duane Long IRA, PTC Cust IRA FBO Joseph Duane Long, PTC Cust IRA FBO Peggy Long, Joseph Duane Long and Peggy Long JJTEN Claimant Lawyers(s): David M. Gaba Respondent(s): LPL Financial LLC Respondent Lawyers(s): Bradley B. Rounsaville Arbitrator(s): Barbara Black, James Howell Garrison, William Finley Hamel Hearing Site: Charlotte, NC
| | $550,398 |
15-01173 | 03/01/2018 | Claimant(s): Dora De Cortes, Ignacio Gelpi, Copesa., Gran Almirante. Claimant Lawyers(s): Francisco Pujol, Harold D. Vincente Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Linette Figueroa-Torres Arbitrator(s): Andrea U. Calve, Richard Carl Smukler, James Howell Garrison Hearing Site: San Juan, PR
| | Expungement |
16-02991 | 12/27/2017 | Claimant(s): Susana Scherrer and Maria D. Scherrer Claimant Lawyers(s): Normarie Rodriguez-Perez Respondent(s): Fernando Del Llano Sobrino, Oriental Financial Services Corp. Respondent Lawyers(s): Alfredo Fernandez Martinez, Sonia Marbarak Arbitrator(s): Olivia Milbank Farrar, James Howell Garrison, William John Sommers Hearing Site: San Juan, PR
| | Expungement |
10-04709 | 07/25/2012 | Claimant(s): Victoria Tacher-Zavala Claimant Lawyers(s): Charles E. Scarlett Respondent(s): Waddell & Reed Respondent Lawyers(s): Carrie Bechtold Arbitrator(s): William H. Steinbrenner, Robert J. Walter, James Howell Garrison Hearing Site: Orlando, FL
| | Expungement |
11-00724 | 03/08/2012 | Claimant(s): Alfred Hoffman Claimant Lawyers(s): Patrick Gaffney Respondent(s): UBS Securities LLC, UBS Financial Services Inc. Respondent Lawyers(s): Joseph Serino Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison Hearing Site: Tampa, FL
| | $0 |