| 14-02702 | 03/27/2017 | Claimant(s): Teresa Vollenweider, Step By Step Communications., Teresa Vollenweider Trust
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Donald Porterfield, Morgan Stanley
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Reggie C. Giffin, M. W. Gear, Ronald G. Bruch
Hearing Site: Kansas City, MO
|  | $250 |
| 14-02331 | 03/24/2017 | Claimant(s): Alba Luz Rodriguez, Venancio Velazquez
Claimant Lawyers(s): Normarie Rodriguez-Perez, Osavldo Carlo
Respondent(s): Anita Brennan, UBS Financial Services Inc., Marina Tudela, UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Linnette Figueroa-Torres, Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): Richard E. Lauziere, Allan R. Lazor, Peter A. Roche
Hearing Site: San Juan, PR
| | Expungement |
| 14-02887 | 03/24/2017 | Claimant(s): Sarah Harmon
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Robert T. Allen
Hearing Site: Raleigh, NC
| | $0 |
| 15-02855 | 03/24/2017 | Claimant(s): Elyse Spialter, Howard Spialter
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Linda J. Baer, Neal D. Baker
Hearing Site: Newark, NJ
| | $19,478 |
| 14-01511 | 03/23/2017 | Claimant(s): Irving Vega Baez, Lourdes Anadon
Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez, Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Matthew C. Plant, Roberto C. Quinones
Arbitrator(s): Daniel E. Gulden, Will Murphy, Robert J. Gregory
Hearing Site: San Juan, PR
| | Expungement |
| 16-00095 | 03/23/2017 | Claimant(s): Christopher Rice
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Andrew Lavenziano, Shane Melito, Upinder Sharma
Respondent Lawyers(s): Andrew C. Lavenziano, Matin P. Unger, Upinder Kumar Sharma
Arbitrator(s): Camille S. Cooper, David A. Schwarz, Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 16-01944 | 03/23/2017 | Claimant(s): Alan Hill
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | $12,721 |
| 15-02744 | 03/22/2017 | Claimant(s): Bernard Revocable Living Trust
Claimant Lawyers(s): Mary Cate Cicero
Respondent(s): Cesar Rodriguez, David Allen, Michael Clements, Avenir Financial Group
Respondent Lawyers(s): Cesar Rodriguez, David Allen, Michael Todd Clements, Michael Clements, CCO
Arbitrator(s): Lawrence R. Commers, Michael Allen Meixner, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
| | $250,180 |
| 14-00575 | 03/21/2017 | Claimant(s): Steven Santagati
Claimant Lawyers(s): John Veach
Respondent(s): Dawn Bennett, Bennett Group Financial Services, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Monica I. Salis, Seth L. Finkel, C. Richard Mancini
Hearing Site: Miami, FL
| | $1,042,770 |
| 15-02267 | 03/21/2017 | Claimant(s): Barbara Morris, Barbara L. Morris Revocable Trust, Charles F. Morris, Jr. Irrevocable Trust
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John P. Wilson, Jonathan H. Krotinger, William J. Petzel
Hearing Site: San Francisco, CA
| | $500,375 |
