| 17-02254 | 03/13/2018 | Claimant(s): Janice Creasy
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Jordan Cooper, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
|  | $0 |
| 16-03270 | 03/08/2018 | Claimant(s): Elvira Martinez Manso, Harry Pelaez, Encody.
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Seth L. Finkel, Jan Glenn Valecka, Matthew Stephen Duchesne
Hearing Site: San Juan, PR
| | $253,256 |
| 16-03129 | 03/08/2018 | Claimant(s): Christine Porter, Kenneth Porter Irrev Marital Trust fbo
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Zhang Financial LLC
Respondent Lawyers(s): Irwin Weltz
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
| | $0 |
| 17-01216 | 03/08/2018 | Claimant(s): The Daniel Rosenberg Testamentary Trust
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sylvia Lanka-Barone
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): John Michael Richardson, A. Rene Hollyer, Harvey E. Benjamin
Hearing Site: New York, NY
| | $0 |
| 17-01341 | 03/08/2018 | Claimant(s): Mahnaz Daniali
Claimant Lawyers(s): Mahnaz Daniali
Respondent(s): Daniel Halsne, Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
| | $117 |
| 15-02104 | 03/07/2018 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen, Robert Abrahamsen SER IRA, Robert & Lee Abrahamsen JTWROS
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Joseph Ninivaggi, Craig Scott Capital
Respondent Lawyers(s): Craig Taddonio, Joseph Ninivaggi
Arbitrator(s): Jim Geiger, Gregory Hunter Mathews, Peter L. Murray
Hearing Site: Augusta, ME
| | $65,000 |
| 16-03174 | 03/07/2018 | Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat
Hearing Site: San Francisco, CA
| | Expungement |
| 16-02576 | 03/07/2018 | Claimant(s): Gerald Sharman
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): Morgan Stanley, Richard Shalhoub
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Lisa Bass Morris, Andrew Barton, Scott Gammel
Hearing Site: Denver, CO
| | $0 |
| 16-03721 | 03/07/2018 | Claimant(s): Sterling Huntley
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Apex Clearing Corporation, TradingBlock
Respondent Lawyers(s): Debra A. Jenks, Jonathan D. Neerman
Arbitrator(s): Harvey R. Linder, Deborah Johns Tatum, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $0 |
| 17-00327 | 03/06/2018 | Claimant(s): Vicente Aguirre and Victor C. Vazquez
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Paul Weinberg, Don G Miller, Donald Ervin Cope
Hearing Site: San Juan, PR
| | Stipulated Award |
