| 20-01723 | 02/09/2021 | Claimant(s): Benedict Emesowum
Claimant Lawyers(s): Benedict Emesowum
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
|  | $0 |
| 16-02133 | 05/10/2018 | Claimant(s): Josue Delucca Colon, Sandra Velilla Ortiz
Claimant Lawyers(s): Eric Norstedt
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Katelyn H. Wilson, Roberto Quinones-Rivera
Arbitrator(s): Sherry R. Wetsch, Jane C. Carney, Jack A. Helms
Hearing Site: San Juan, PR
| | Expungement |
| 15-02330 | 03/28/2018 | Claimant(s): Ana Cadilla, Fideicomiso Arturo J. Cadilla
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Bernard A. Becker, Jane C. Carney, Marta A. Rivera Figueroa
Hearing Site: San Juan, PR
| | $250,000 |
| 16-00666 | 01/09/2017 | Claimant(s): Cynthia Strini
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Labron Toles, Philip Dina, Silva Velez
Respondent Lawyers(s): Labron Manosa Toles, Philip A. Dina, Silva Alexander Velez
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $24,574 |
| 13-03041 | 08/08/2014 | Claimant(s): Robert E and Susan Bowers
Claimant Lawyers(s): Robert Bowers
Respondent(s): Scott Eglseder, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $4,632 |
| 12-04199 | 09/20/2013 | Claimant(s): Seijin Jeong
Claimant Lawyers(s): Seijin Jeong
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | $0 |
| 12-01649 | 07/16/2013 | Claimant(s): Dorie J. Hairfield, IRA, Edmond F. Christian, Richard E. Hairfield
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): James Cosby
Arbitrator(s): Stuart H. Dunn, Jane C. Carney, Norman L. Hancock
Hearing Site: Richmond, VA
| | $817,116 |
| 11-02030 | 05/23/2012 | Claimant(s): Joyce Sills
Claimant Lawyers(s): Joyce Marie Sills
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jason Vigunas
Arbitrator(s): Joseph A. Kenary, Jane C. Carney, John Kevin Williams
Hearing Site: Richmond, VA
| | $0 |
| 10-02200 | 10/05/2011 | Claimant(s): Jeremy Harvey
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Karen McKinley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Jonathan S. Alcaro, Jane C. Carney, William Stephen Mailander
Hearing Site: Richmond, VA
| | $0 |
| 10-01182 | 01/31/2011 | Claimant(s): Howard Semones
Claimant Lawyers(s): Kevin W. Holt
Respondent(s): Paul Curran, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
| | Expungement |
