| 14-01056 | 06/28/2018 | Claimant(s): Wilfredo Alvarez
Claimant Lawyers(s): Renato Barrios
Respondent(s): Ibrahim Arce, UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Matthew C. Plant, Roberto C. Quinones-Rivera
Arbitrator(s): Jan Glenn Valecka, Edward R. Niederriter, Chris J. Conanan
Hearing Site: San Juan, PR
|  | $0 |
| 18-00299 | 06/27/2018 | Claimant(s): Ronnie Jandt
Claimant Lawyers(s): Ronnie Jandt
Respondent(s): Scottrade Inc., Rodger Riney
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Julius Z. Frager
Hearing Site: Louisville, KY
| | $5,175 |
| 17-01088 | 06/27/2018 | Claimant(s): Rodger Rickel
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): James Miles Goodwin
Hearing Site: Seattle, WA
| | $0 |
| 17-01679 | 06/27/2018 | Claimant(s): John Newport, Marcia Moore
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Richard Westerman, Sean Grubb, Northwest Investment Advisors.
Respondent Lawyers(s): William D. Hyslop
Arbitrator(s): Thomas R. Dreiling, Dianna J. Caley, Larry Dalton Arnold
Hearing Site: Seattle, WA
| | $360,300 |
| 18-00186 | 06/27/2018 | Claimant(s): Michael Riddick
Claimant Lawyers(s): Michael Riddick
Respondent(s): Adrian Voytelmgum, AXA Advisors, Dennis Paska
Respondent Lawyers(s): Hector D. Geribon, Jessica E. Levine
Arbitrator(s): Larry E. Ray
Hearing Site: Washington, DC
| | $0 |
| 16-02150 | 06/26/2018 | Claimant(s): Lynne Hoseck, Hoseck Investments LLC, The Hoseck Corporation, Estate of Ralph Hoseck, The Hoseck Family Trust No. 1
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Mark Plummer, Texas E&P Partners.
Respondent Lawyers(s): Mark Plummer
Arbitrator(s): G. Maynard Green, Edward J. Lynch, John Kenneth Popham
Hearing Site: Dallas, TX
| | $345,000 |
| 17-02104 | 06/26/2018 | Claimant(s): Leslie and Joel Greenberg
Claimant Lawyers(s): Joel M. Greenberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Davidson, Merrill Lynch Wealth Management
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Sandra J. Mullings, Michael J. Maran, John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 17-02664 | 06/25/2018 | Claimant(s): Nelson Faro
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Deborah Lichtenfeld, Michael Lichtenfeld
Respondent Lawyers(s): Neil B. Solomon
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-00051 | 06/25/2018 | Claimant(s): David Coletti, Gail Charles, CDG (Ohio) LLC
Claimant Lawyers(s): Ross D Carmel
Respondent(s): Bruce Greenwald, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): George J. Karlsven, Daniel M. Yamshon, Marc Kalish
Hearing Site: Salt Lake City, UT
| | Expungement |
| 17-00857 | 06/25/2018 | Claimant(s): Kris Dielman, Sandy Dielman
Claimant Lawyers(s): Robert Traylor
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Gavin E. Gruber
Arbitrator(s): Mark R. Lee, Randy R. Maher, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | $1,091,580 |
