| 18-02123 | 01/14/2019 | Claimant(s): Thomas W. Riordan WFCS Cust. Trad IRA, Thomas Riordan & Barbara Riordan JTWROS
Claimant Lawyers(s): Thomas Riordan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
|  | $4,600 |
| 18-00615 | 01/11/2019 | Claimant(s): David Stack
Claimant Lawyers(s): Timothy C. Lynch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | Expungement |
| 16-03397 | 01/11/2019 | Claimant(s): Ana Bury, Ana Sepulveda, Ernest Bury Sepulveda, John Bury Garcia, John Bury Sepulveda, Mattew Bury Lugo, Patricia Bury Lugo, The Estate of John L. Bury Teasdale
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire, Peter G. Neiman, Roberto C. Quinones
Arbitrator(s): James W. Geiger, Christine L. Stetson, Martin I Jaffe
Hearing Site: San Juan, PR
| | Expungement |
| 18-01289 | 01/11/2019 | Claimant(s): Joseph Menice
Claimant Lawyers(s): Keith A. Macdonald
Respondent(s): James Moniz
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Richard J. Grahn, Barry J. Rubenstein, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 17-02952 | 01/09/2019 | Claimant(s): Ron Ben-Zakai, Refua Shlema
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Philip Rabinovich, Dinosaur Financial Group
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Richard W. Cutler, Pamela H. Roderick, James G Paulsen
Hearing Site: New York, NY
| | Expungement |
| 18-02597 | 01/08/2019 | Claimant(s): Peggy Russell
Claimant Lawyers(s): Edward M. Bearman
Respondent(s): Richard Burt
Respondent Lawyers(s): Richard Allen Burt
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
| | $300 |
| 16-02805 | 01/08/2019 | Claimant(s): Oscar Celasco, Centrica Invt Capital Inc., G.S.S. Capital Group Limited, GSSC Holdings LTD, GSSC SP, Mesoamerica Acre Farms., Westwood Holding Inc.
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Gary Timothy Haight, Laurent C. Vonderweidt, A. Joel Klein
Hearing Site: Los Angeles, CA
| | $0 |
| 18-00778 | 01/08/2019 | Claimant(s): Donald Simpson
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Simeon B. Reimonenq, Maryanne M. Esser, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | $250,495 |
| 18-02678 | 01/08/2019 | Claimant(s): James Desormeaux
Claimant Lawyers(s): James Thomas Desormeaux
Respondent(s): Ustocktrade Securities.
Respondent Lawyers(s): Francesco Matteini
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
| | $38 |
| 16-00880 | 01/07/2019 | Claimant(s): Manuel Ojeda, Professional Equipment Corp.
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones, Sean J. Coughlin
Arbitrator(s): Seth L. Finkel, Will Murphy, Thomas Richard Blake
Hearing Site: San Juan, PR
| | Expungement |
