| 17-02480 | 05/31/2019 | Claimant(s): Alfred De Arellano, Georgina Despradel
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Jaime J. Aponte-Parsi, Edward S. Koppman, Arthur Erwin Peabody
Hearing Site: San Juan, PR
|  | Expungement |
| 18-00937 | 05/31/2019 | Claimant(s): West Chicago Police Pension Fund
Claimant Lawyers(s): Jeffrey Finley
Respondent(s): Edward Jones
Respondent Lawyers(s): Alexander Martin Madrid
Arbitrator(s): Ray J. Grzebielski, Robert Biondi, Adrian E. Mazar
Hearing Site: Chicago, IL
| | $0 |
| 17-02855 | 05/30/2019 | Claimant(s): Donald L. and Beverly C. Hamill
Claimant Lawyers(s): Donald Hamill
Respondent(s): David Harris, Doris Burr, Gregory Shea, Harry Peters, Joseph Hooper, Justin Burr, Kevin Cline, Robert Burr, Russell Newton, Stephen Larkin, Blue Ridge Group., Source Capital Group.
Respondent Lawyers(s): Company President, David Webster Harris, David Harris, Doris R. Burr, Harry Peters, Michael A. Valenti, Russell William Newton, Stephen Carl Larkin, Travis Creed
Arbitrator(s): Michael S. Matek, Mark S. Foster, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $0 |
| 17-01393 | 05/29/2019 | Claimant(s): Jonathan Feldman
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): optionsXpress.
Respondent Lawyers(s): Stephen J. Senderowitz
Arbitrator(s): James A. Hayes, Joseph J. Dougherty, John Nelson Greer
Hearing Site: Baltimore, MD
| | $1,558,000 |
| 18-01379 | 05/29/2019 | Claimant(s): Alma Miller, Rondel Miller
Claimant Lawyers(s): Vonne L. Karraker
Respondent(s): Ray Reese, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert J. Scafuri, Julius Z. Frager, Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
| | Expungement |
| 19-00143 | 05/28/2019 | Claimant(s): Kenneth Volk
Claimant Lawyers(s): Mark Kowalsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin B. Sinclair
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI
| | $15,300 |
| 18-03340 | 05/28/2019 | Claimant(s): Joseph Best
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Bernard Jasmin, Todd Sanders, Vladimiro Panichi, Empire Asset Management Company
Respondent Lawyers(s): Kristi Gavalier, Mickey B. Wright
Arbitrator(s): William Barker Brown, Judith Stilz Ogden, Charles E. White
Hearing Site: Atlanta, GA
| | $0 |
| 18-03717 | 05/23/2019 | Claimant(s): Paul Garber
Claimant Lawyers(s): Hilton Wiener
Respondent(s): James Schwartz, Aegis Capital Corp.
Respondent Lawyers(s): James Bradley Schwartz, Michael P. Gilmore
Arbitrator(s): Richard W. Dissen
Hearing Site: Augusta, ME
| | $300 |
| 16-03326 | 05/21/2019 | Claimant(s): Deborah Waldemar, Margaret Waldemar, Deborah Waldemar IRA
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): David M. Snyder, Gayle B. Carlson, Vlad Gerard Spitzer
Hearing Site: Tampa, FL
| | $115,975 |
| 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 |
