| 16-01588 | 07/09/2018 | Claimant(s): Elliot Gallin SS 401K Plan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
|  | $0 |
| 16-03287 | 07/06/2018 | Claimant(s): Alberto Corretjer-Reyes, Antonio Corretjer-Benvenutti, Carlos Reyes Vidal, Maria Reyes-Vidal, Roberto Corretjer-Piquer, Matilde Nadal De Vidal., Estate of Miriam Vidal -Nadal, Epifanio Vidal S.E., Fanovidal S.E., Roberto Corretjer-Piquer Retirement Plan
Claimant Lawyers(s): August M. Iorio
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Stephan M. Louviere
Arbitrator(s): Shelley Teitelbaum, Veera V. Konka, Betty Chen
Hearing Site: New York, NY
| | $250,000 |
| 17-03069 | 07/05/2018 | Claimant(s): Eli Garza
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Mark Plummer, Texas E&P Partners.
Respondent Lawyers(s): Mark Allan Plummer, Mark Plummer
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
| | $1,521,300 |
| 17-00630 | 07/03/2018 | Claimant(s): Chris Schlatter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Barry Kiront, Blake Kiernan, Stephen Kiront, Woodstock Financial Group.
Respondent Lawyers(s): Blake H. Kiernan, John E. Lawlor, Martin P. Unger
Arbitrator(s): Thomas F. Mahoney, David J. Hase, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $105,000 |
| 17-01356 | 07/03/2018 | Claimant(s): Juliana Smith
Claimant Lawyers(s): Stephen J. Curley
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Joshua Kastan
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $62,275 |
| 16-02012 | 07/02/2018 | Claimant(s): Alberto Fogel, Rita Bemaras De Mizrachi
Claimant Lawyers(s): Brian Levin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): William Ziering, Ralph A. Cotton, Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | Expungement |
| 17-02326 | 06/29/2018 | Claimant(s): Brian Rix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Centennial Securities Company.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Sarah J. Nordlund, Robert Lane Arrington, Patrick K. Gregorius
Hearing Site: Nashville, TN
| | Expungement |
| 17-03209 | 06/29/2018 | Claimant(s): James Ward
Claimant Lawyers(s): Ryan Cook
Respondent(s): Fmsbonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Morton S. Bunis
Hearing Site: Newark, NJ
| | Stipulated Award |
| 16-01495 | 06/28/2018 | Claimant(s): David Holcomb, Ginger Holcomb, Williams Sanders, The Estate of Sam E. Jones III, Ginger
Claimant Lawyers(s): Charles A. McCallum
Respondent(s): Brian Anderson, Anderson Pewitt & Associates., Anderson Pewitt & Associtates. d/b/L Financial Holdings., Weybridge Capital Partners, GP.
Respondent Lawyers(s): Bradley B. Rounsaville, Richard Frankowski
Arbitrator(s): Steven P. Gregory, Constance P. Barr, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 17-01710 | 06/28/2018 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ernest Romer, Judith Villarreal, Raymond Pett, Corecap Investments.
Respondent Lawyers(s): Ernest Julius Romer, Steven Mellen
Arbitrator(s): Raymond J. Sterling, Erane C. Washington-Kendrick, William Joseph Caprathe
Hearing Site: Detroit, MI
| | $57,500 |
