| 14-02056 | 02/24/2017 | Claimant(s): Jo Ann Bennett, Jasmine A. Hopson, Laprecious Hopson, Cevera H. Davis, IRA, Gloria Stamps, Jo Ann Bennet, Roth IRA, Maggie M. Cooper, Marilyn Grather, Marvin L. Falvey, Nancy Falvey, Patty L. Myers, Roy E. Crampton III IRA Rollover, Roy E. Crampton, Russell L. Laird, W.L. Cupit, William D. Falvey
Claimant Lawyers(s): Judson M. Lee
Respondent(s): Logan Phillips, Morgan Keegan & Company, Raymond, James & Associates.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Barbara L. Edin, Mollie Wagner Neal, William T. Bowen
Hearing Site: Jackson, MS
|  | $761,771 |
| 14-03186 | 02/24/2017 | Claimant(s): Thomas Lewis, Lewis Family Limited Partnership
Claimant Lawyers(s): Alan Frank
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Matthew A. White
Arbitrator(s): Thomas Benjamin Salzer, Richard M. Rosenbleeth, Timothy Towles Stevens
Hearing Site: Philadelphia, PA
| | $600 |
| 16-00350 | 02/24/2017 | Claimant(s): Dennis Harlow
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Brian Hagerman, John Matthews, Niaz Elmazi
Respondent Lawyers(s): Brian Joseph Hagerman, Niaz Elmazi, Ronald S. Herzog
Arbitrator(s): William L. Cravens, Michael A. Kleinman, Elizabeth Sharp Lynch
Hearing Site: Kansas City, MO
| | $298,737 |
| 15-00109 | 02/22/2017 | Claimant(s): Ellie Stoller, Lee Stoller
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): D. Bruce Shine, James A. McIntosh, L. Wilford Fuqua
Hearing Site: Nashville, TN
| | Expungement |
| 11-03837 | 02/22/2017 | Claimant(s): Estate of Jerry Castellone, Estate of Jerry Castellone 2
Claimant Lawyers(s): Harvey Jasper, Jonathan A. Stein
Respondent(s): Chase Investment Services Corp., Chemical Bank, JP Morgan Chase & Co., JP Morgan Chase Bank & Co., JP Morgan Chase Bank NA
Respondent Lawyers(s): Michael J. Charlilo
Arbitrator(s): Ted M. Rosen, Joan M. Traub, Peter A. Kiefer
Hearing Site: New York, NY
| | $600 |
| 15-03075 | 02/21/2017 | Claimant(s): Carole Stanley, Tony Stanley
Claimant Lawyers(s): Russell Forkey
Respondent(s): Carmine Capone, Jason Figueroa, Paul Mante, The GMS Group
Respondent Lawyers(s): David W. Schmidt, Jason Lyn Figueroa
Arbitrator(s): Lawrence M. Green, Kimberly A. Gilmour, Toby Bartosh
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-01607 | 02/21/2017 | Claimant(s): Pam Stewart
Claimant Lawyers(s): David Liebrader
Respondent(s): Robert Kerrigan
Respondent Lawyers(s): Robert Joseph Kerrigan
Arbitrator(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | $358,182 |
| 16-01300 | 02/21/2017 | Claimant(s): Norcell McRay
Claimant Lawyers(s): Norcell McRay
Respondent(s): Devon Mclean, Everett Walker
Respondent Lawyers(s): Devon Coulin Mclean, Everett Scoville Walker
Arbitrator(s): Jeffrey R. Roth
Hearing Site: Miami, FL
| | $35,000 |
| 13-03520 | 02/17/2017 | Claimant(s): Luis Romero Lopez, Luis R. Romero Lopez Pledged Collateral
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones-Rivera
Arbitrator(s): Joyce F. Glucksman, Reinaldo Royo, Robert J. Buchner
Hearing Site: San Juan, PR
| | $10,000,000 |
| 15-03138 | 02/16/2017 | Claimant(s): James F. Kerg Revocable Living Trust
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Wells Fargo Advisors Financial Network, Eric Haubert
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Emily J. Lewis, Stephen D Kursman, W Charles Curley
Hearing Site: Columbus, OH
| | Expungement |
