| 16-00246 | 04/04/2017 | Claimant(s): George Wood
Claimant Lawyers(s): Scott Fink
Respondent(s): Heather Weber, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Melinda S. Milberg, Denise L. Presley, John Francis Markuns
Hearing Site: Boston, MA
|  | Expungement |
| 15-02220 | 04/03/2017 | Claimant(s): Carolee McCardle, Dale Stake, Donald McCardle, Jeffrey Roberts, Larry Gigax, Michael Ryan, Pamela Stichion, Ronald Stichion, Shelby Roberts, 912 Holdings
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Roger W. Van Deusen, Stuart Sinai, Benjamin E. Fisher
Hearing Site: Tampa, FL
| | $668,675 |
| 16-03355 | 04/03/2017 | Claimant(s): Robin Lapes
Claimant Lawyers(s): Robin M Lapes
Respondent(s): Robert Hunt
Respondent Lawyers(s): Sunai Edwards
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
| | $18,060 |
| 16-02105 | 03/31/2017 | Claimant(s): A. Savitt
Claimant Lawyers(s): A. Robin Savitt
Respondent(s): Thomas Connors
Respondent Lawyers(s): Thomas Edmund Connors
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
| | Expungement |
| 14-03557 | 03/30/2017 | Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 15-00709 | 03/29/2017 | Claimant(s): Luis Cummings-Carrero, Caribbean Anesthesia Society
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Jaime E. Toro- Monserrate, Lawrence E. Fenster
Arbitrator(s): Richard E. Lauziere, James Sean Healey, Robert Lawrence Ostrov
Hearing Site: San Juan, PR
| | $4,423,180 |
| 16-02190 | 03/29/2017 | Claimant(s): Randy Mims, IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Gregory Kuhn
Respondent Lawyers(s): Joel Davidson
Arbitrator(s): Rafael A. Porrata-Doria, Kathleen K. Murphy, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00096 | 03/28/2017 | Claimant(s): Paul Garber
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Adam Lynn, Zachary Bader
Respondent Lawyers(s): Adam Lynn, Zachary T. Bader
Arbitrator(s): Richard J. Grahn, Robert S. Hark, John Edward Sylvester
Hearing Site: Augusta, ME
| | $76,267 |
| 15-00382 | 03/27/2017 | Claimant(s): Jerry Heilman, Mary Heilman, Tony Tasca
Claimant Lawyers(s): Alan Rosca, Hugh D. Berkson
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Susan M. Thevenet, Nancy Fioritto, Kevin Brodar
Hearing Site: Cleveland, OH
| | Stipulated Award |
| 16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
