18-02839 | 05/13/2019 | Claimant(s): Marissa Zalay Claimant Lawyers(s): E. LeBron Free Respondent(s): UBS Financial Services Inc., Michael Cowan, Comerica Securities Respondent Lawyers(s): Jonathan C. Schwartz Arbitrator(s): Darryl C. Wilson, Martin M. Van Luven, Oliver J. Janney Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
18-02757 | 05/10/2019 | Claimant(s): Anthony Markovic Claimant Lawyers(s): Anthony L. Markovic Respondent(s): Sterne, Agee & Leach. Respondent Lawyers(s): George D. Sullivan Arbitrator(s): Sandra Gale Behrle, David I. Goldblatt, Nunzio Garzino Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
18-01513 | 05/09/2019 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Joseph L Siders Respondent(s): Thomas Sanduski Respondent Lawyers(s): Thomas J. Sanduski Arbitrator(s): Larry Edmonson, Sheila Grinell, Roger A. Geddes Hearing Site: Las Vegas, NV
| | $0 |
16-02881 | 05/09/2019 | Claimant(s): Manuel Velez De Jesus, Mavel Corp. Claimant Lawyers(s): August Iorio Respondent(s): UBS Financial Services Inc. Of PR Respondent Lawyers(s): Roberto Quinones Arbitrator(s): Gerald H. Grayson, Bernard Lieberman, Wayne I. Harris Hearing Site: New York, NY
| | Expungement |
18-01389 | 05/09/2019 | Claimant(s): Mary Lott Claimant Lawyers(s): Jonathan Kurta Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Allan R. Lazor Hearing Site: New Orleans, LA
| | $0 |
19-00145 | 05/09/2019 | Claimant(s): Sugam Vasani Claimant Lawyers(s): Sugam Vasani Respondent(s): Robinhood Financial, Robinhood Securities Respondent Lawyers(s): Scott I. Friedman, Scott Friedman Arbitrator(s): John James McGovern Hearing Site: Pittsburgh, PA
| | $22,570 |
18-03797 | 05/08/2019 | Claimant(s): Beth Rowlett, Christy Camp, Clifford Camp, Earl Davis, F. Fowler, Janet Davis, Kent Kebert, Lynn Kebert, Maynard Bryant, Michael Borne, Samuel Williams, Susan Brooker, Wormser Financial LLC, Estate of Lavoy J. Reed, Alan B. Platkin Credit Shelter Trust, Harold and Judy Wormser RLT 2/1/50 Claimant Lawyers(s): Donald L. Ferguson Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Hearing Site: Jackson, MS
| | $1,430,750 |
17-03428 | 05/08/2019 | Claimant(s): Herman Fuchs, Mina Fuchs Claimant Lawyers(s): Brad S. Maistrow Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Robert E. Anderson, Edward W. Morris, Sylvia Kaminsky Hearing Site: Newark, NJ
| | $0 |
18-00853 | 05/08/2019 | Claimant(s): Carolyn Jacobs, Charles Vaughn, Deanette Vaughn, Joseph Dominick, Robert Meyer, Rosemary Workman, Scott Fortin, Steven Jacobs, The Charles W Jacobs Family Trust, The Katherine Alfred Trust Claimant Lawyers(s): John S. Chapman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Linda L. Drummond, Mary M. O'Neil, Kirtley M. Thiesmeyer Hearing Site: Los Angeles, CA
| | $0 |
18-03024 | 05/08/2019 | Claimant(s): Donna M. Lavery 1993 Trust, James W. Lavery 1993 Trust Claimant Lawyers(s): James W. Lavery Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): James W. Kerr Hearing Site: Oklahoma City, OK
| | $0 |