| 17-01542 | 12/13/2018 | Claimant(s): Betty Faigenblat, Mark Faigenblat, MBF (PR), MFB Corporation, Mark M. Faigenblat Retirement Plan, Fideicomiso Coin, Fideicomiso Mirabelle
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Peter G. Neiman
Arbitrator(s): Robert S. Zuckerman, Peter B. Loewenberg, John Akroyd
Hearing Site: San Juan, PR
|  | $0 |
| 14-02428 | 10/14/2015 | Claimant(s): Donald Young, Mary Young
Claimant Lawyers(s): James P. Lucking
Respondent(s): Christos Kalatoudis
Respondent Lawyers(s): Christos A. Kalatoudis
Arbitrator(s): Wesley C. Wilson, Robert S. Zuckerman, Shelley Simons Korch
Hearing Site: Norfolk, VA
| | $177,409 |
| 14-02206 | 10/02/2015 | Claimant(s): Andrew Alexander, Plantations at Haywood 5, TIC Hunters Chase 18
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Robert S. Zuckerman, Donita M. King, Overman Randolph Rollins
Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
| 13-02047 | 06/10/2015 | Claimant(s): Linnea Sams, Linnea B. Sams Revocable Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): National Securities Corporation, Louis Rogers
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert S. Zuckerman, Donald B. Katz, Michael Andrew Glasser
Hearing Site: Norfolk, VA
| | Expungement |
| 10-00455 | 08/19/2010 | Claimant(s): Patricia Kaufman
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
| | $9,102 |
| 07-03126 | 09/04/2009 | Claimant(s): Jerry Maye, Rita Maye
Claimant Lawyers(s): Rita H. Maye
Respondent(s): Mark Gandossy, Legacy Financial Services.
Respondent Lawyers(s): Derek C. Anderson, Michael J. Ernst
Arbitrator(s): Zeb E. Barnhardt, M. Bruce Adelberg, Robert S. Zuckerman
Hearing Site: Charlotte, NC
| | Settlement |
| 09-01804 | 08/20/2009 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Hobert Sanderson
Respondent Lawyers(s): Hobert K. Sanderson
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
| | $0 |
| 09-00097 | 07/09/2009 | Claimant(s): Stephen Kraljic
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Charlotte, NC
| | $0 |
| 07-01100 | 03/28/2008 | Claimant(s): The Shorr Family Trust
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): A.G. Edwards & Sons., Terry Dean
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. Zuckerman, Michael E. Pearson, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 07-00520 | 03/19/2008 | Claimant(s): Calvin Smith #37345-004, Errell Heflin- REG# 79150-012, George Eiland- REG# 99770-131, Roger Lunsford- REG# 21241-057
Claimant Lawyers(s): Calvin Smith- REG# 37345-004, Errell Glenn Heflin - REG# 79150-012, George W. Eiland - REG#99770-131, Roger K. Lunsford- REG# 21241-057
Respondent(s): Thomas Leechin, Nations Financial Group., RBC Dain Rauscher Inc.
Respondent Lawyers(s): Bryan Keane, William T. McCartan
Arbitrator(s): Glenn R. Oxner, Laurence M. Scoville, Robert S. Zuckerman
Hearing Site: Columbia, SC
| | $0 |
