| 15-01431 | 02/07/2017 | Claimant(s): Roger Turner, Roger T. Turner IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Anderson, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Lita S Menkin, David Walton Earle, J. Wesley Romine
Hearing Site: Birmingham, AL
|  | Expungement |
| 14-00304 | 08/11/2015 | Claimant(s): Milagros Maldonado, Orlando Gonzalez
Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez, Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto C. Quinones
Arbitrator(s): Edward R. Niederriter, Kenneth R. Starr, David Walton Earle
Hearing Site: San Juan, PR
| | $2,545,600 |
| 13-01964 | 03/04/2015 | Claimant(s): Brian Matherne
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): Daniel J. Pagnano, David Walton Earle, Brian P. Jakes
Hearing Site: New Orleans, LA
| | Expungement |
| 08-00082 | 05/14/2010 | Claimant(s): Eugene O. Jones and Joy F. Jones
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Slowey, Edward Puttick, Advanced Planning Securities.
Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan
Arbitrator(s): John J. Meyer, Jerry C. Prestridge, David Walton Earle
Hearing Site: New Orleans, LA
| | Stipulated Award |
