| 16-01719 | 08/17/2017 | Claimant(s): Angeles Gonzalez, Eduardo Molinari, EMAS S.E., EMCO Construction, Eduardo Molinari & Associates, WARG, INC.
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Matthew E. Wolper
Arbitrator(s): James Edward Seale, Donald Ervin Cope, Bernard Travis Holmes
Hearing Site: San Juan, PR
|  | Expungement |
| 12-02514 | 08/16/2017 | Claimant(s): Denise Solis, Denise F. Solis, Trustee/Rev. Trust
Claimant Lawyers(s): Brian D. Miller, Tucker H. Byrd
Respondent(s): Alyn Towne, Sterling Enterprises Group.
Respondent Lawyers(s): Alyn Lee Towne
Arbitrator(s): Jane L. Lawless, Stuart K. Furman
Hearing Site: Orlando, FL
| | Stipulated Award |
| 16-00695 | 08/16/2017 | Claimant(s): Brenda Phetteplace, Thomas Trout
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
| 16-01277 | 08/16/2017 | Claimant(s): R. B. Corbin, Jr. Trust
Claimant Lawyers(s): Richard B. Corbin
Respondent(s): Wells Fargo Advisors, Maiya Furgason
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Steven R. Rolnick, James R. Collins, Thomas Matthew Madden
Hearing Site: Providence, RI
| | $0 |
| 16-01612 | 08/15/2017 | Claimant(s): Patricia Bohanon
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael R. Gaico
Arbitrator(s): Jim Geiger, Lawrence W. Arness, Mark Christian Travis
Hearing Site: Louisville, KY
| | Expungement |
| 16-00333 | 08/15/2017 | Claimant(s): Michael Darius, Miriam Darius
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Stuart H. Dunn, Tina E. Patterson, Eileen B. Vernon
Hearing Site: Charleston, WV
| | $0 |
| 16-01461 | 08/11/2017 | Claimant(s): Kevin Swanton
Claimant Lawyers(s): Kevin R. Swanton
Respondent(s): Omar Hassan, PHX Financial.
Respondent Lawyers(s): Daniel Otoya, Omar Ibrahim Hassan
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 14-00451 | 08/10/2017 | Claimant(s): Dominic Cammareri
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Charles Vista LLC
Respondent Lawyers(s): Greg Lorenzo
Arbitrator(s): Gregory J. Getz
Hearing Site:
| | $15,557 |
| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 11-03420 | 08/10/2017 | Claimant(s): Peter Laskarzewski, Peter M. Laskarzewski Rev Trust
Claimant Lawyers(s): Peter M. Laskarzewski
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Joseph M. Callow
Arbitrator(s): Jane D. Lollis, Andrew R. Present, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $0 |
