| 16-03237 | 02/07/2019 | Claimant(s): Jose Diaz Velarde, Sara San Martin
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Monica I. Salis, James Casimir Casey
Hearing Site: Miami, FL
|  | Expungement |
| 17-01902 | 02/07/2019 | Claimant(s): Benita Gabbe, Benita L. Gabbe Revocable Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-02200 | 02/07/2019 | Claimant(s): Joel Christie, Kusum Christie
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry Giurato
Arbitrator(s): Gary E. Marcus, John Alan Hawke, David Schwartzberg
Hearing Site: Tampa, FL
| | Expungement |
| 17-02768 | 02/07/2019 | Claimant(s): Norman Lipson
Claimant Lawyers(s): Robert J Girard
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Doris V. Knotter, Thomas L. Marshall, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
| 18-01846 | 02/07/2019 | Claimant(s): Anna Bjornson, Steven Bjornson
Claimant Lawyers(s): Anna Bjornson, Steven Bjornson
Respondent(s): Gary Gallagher, Voya Financial Advisors.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | Expungement |
| 17-03094 | 02/07/2019 | Claimant(s): W. James Schiller Rev Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): The GMS Group
Respondent Lawyers(s): Alex Schmidt
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | $0 |
| 18-02831 | 02/06/2019 | Claimant(s): Marva Monroe
Claimant Lawyers(s): Marva M. Monroe
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., Paul Donofrio
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $0 |
| 15-01927 | 02/04/2019 | Claimant(s): Dolan Family Trust Account
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brian Hagerman, John Vaughan
Respondent Lawyers(s): Brian Joseph Hagerman, John Joseph Vaughan
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Dismissed by Rule 12601(c) |
| 17-03316 | 02/04/2019 | Claimant(s): Nicholas McClanahan
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Ray J. Grzebielski, Gerald F DeNotto, Robert S. Grabemann
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 17-01986 | 02/04/2019 | Claimant(s): Nebo Investment Fund LP
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): David S. Billet, Donald Nevin Gershuny, John Michael Bergin
Hearing Site: New York, NY
| | $0 |
