| 15-01525 | 05/23/2016 | Claimant(s): Toya Williams
Claimant Lawyers(s): Toya Elaine Williams
Respondent(s): Charles Winfrey
Respondent Lawyers(s): John A. Beam
Arbitrator(s): Stuart Sinai
Hearing Site: Memphis, TN
|  | Dismissed by Rule 12206 |
| 14-01256 | 05/23/2016 | Claimant(s): Asociacion de Empleados Del Estado Libre
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto Quinones
Arbitrator(s): Gerald Silverman, Clement Osimetha, Sydney E. Blum
Hearing Site: San Juan, PR
| | $0 |
| 14-02059 | 05/23/2016 | Claimant(s): Audri Lompado, Conde Loeffler, Edward Bohne, Edward Cohen, Irene Kirdahy, Kathie Azoff, Kenneth Gaul, Lawrence Deziel, Marc Azoff, Richard Wiedersum, Ronald Rickard, Tony Lompado, David Perry IRA, Ronald David IRA, Ronald G. Rickard Roth IRA, Ronad A. David and Dona C. David as Tena
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Doreen Weber, Kevin Larson
Respondent Lawyers(s): F. Chet Taylor
Arbitrator(s): Randy R. Freedman, Robert H. Loevin, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 14-03649 | 05/19/2016 | Claimant(s): Arthur Torrellas, Arthur A. Torrellas Q-Tip Marital Trust, Arthur A. Torrellas Survivor's Trust, Arthur Torrellas NonExempt QTip Marital, Carole M. Torrellas Decedent's Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Eric Spraker, Richard Spraker
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Ronald L. Cameron, Robert Rosen, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00362 | 05/19/2016 | Claimant(s): Martha Welborne
Claimant Lawyers(s): Brian D. Boydston
Respondent(s): Charles Bohlen, Stern Fisher Edwards Inc.
Respondent Lawyers(s): Edward Gartenberg
Arbitrator(s): Steven Gourley, Ronald L. Cameron, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
| | $297,000 |
| 15-01119 | 05/19/2016 | Claimant(s): Joseph Rothbauer
Claimant Lawyers(s): Ryan Cook
Respondent(s): Hector Perez
Respondent Lawyers(s): Hector Perez
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
| | $120,148 |
| 13-03740 | 05/19/2016 | Claimant(s): Thomas Krajewski
Claimant Lawyers(s): Howard Cohen
Respondent(s): Timothy Dembski, Walter Grenda, Mid Atlantic Capital Corporation
Respondent Lawyers(s): Eric Soehnlein, Erin N. Fischer, Joseph G. Makowski
Arbitrator(s): Thomas E. Webb, Richard D. Rosenbloom, Michael Edward Rourke
Hearing Site: Buffalo, NY
| | $0 |
| 15-01784 | 05/19/2016 | Claimant(s): Mark Altstetter
Claimant Lawyers(s): Mark H. Altstetter
Respondent(s): Englebert Sarmiento, John Matthews
Respondent Lawyers(s): Ian J. Frimet, Ronald S. Herzog
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | $38,428 |
| 15-02115 | 05/17/2016 | Claimant(s): Moussa Sarwa, Touneh Sarwa
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Betty Chen, Stephen M. Schaedtler, Mary Julia O'Connell
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 15-01416 | 05/17/2016 | Claimant(s): Greg Wampler
Claimant Lawyers(s): Jennifer L Tarr
Respondent(s): John Lowry, Joseph Ilg, Kim Monchik, Robert Murray, Spartan Capital Securities
Respondent Lawyers(s): Harry Delagrammatikas
Arbitrator(s): Rody P. Biggert
Hearing Site: Indianapolis, IN
| | $0 |
