| 14-00442 | 03/21/2016 | Claimant(s): Lymarie Diaz, Nelson Irizarry
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): Edward R. Niederriter, Andrea Bailey, Allan R. Lazor
Hearing Site: San Juan, PR
|  | $1,200,300 |
| 15-00669 | 03/21/2016 | Claimant(s): Castaway LP
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa Muehlfeld
Arbitrator(s): Phillip Lee Scheldt, G. Maynard Green, Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates.
Claimant Lawyers(s): Joshua Kons
Respondent(s): Sagepoint Financial., Next Financial Group.
Respondent Lawyers(s): Debra L. Weiss, Greg Curley
Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 14-02286 | 03/18/2016 | Claimant(s): Carol Craig
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Southwest Securities., John Coyle
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Robert J. Gregory, Gerald Ray Waterston, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $2,500 |
| 13-02474 | 03/17/2016 | Claimant(s): Daniel Harkins
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Karla Y. Vogel, Debra Black Leo, Clarence H. Hampton
Hearing Site: Birmingham, AL
| | Expungement |
| 13-03262 | 03/17/2016 | Claimant(s): Manuel Batlle, Cabat Company
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Randy R. Freedman, Robert G. Falbisaner, Alberto G. Estrella
Hearing Site: San Juan, PR
| | Stipulated Award and Expungement |
| 15-00692 | 03/17/2016 | Claimant(s): Yaser Moustafa
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Romano Brothers And Company
Respondent Lawyers(s): William B. Berndt
Arbitrator(s): Thomas F. Mahoney, G. Gale Roberson, Daniel R. Formeller
Hearing Site: Chicago, IL
| | $155,000 |
| 15-01311 | 03/16/2016 | Claimant(s): Suzanne Taylor
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Mary M. O'Neil, Daniel Lawrence Pearlman, Michael Joseph Desmond
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 15-01634 | 03/16/2016 | Claimant(s): Michael L. Kennedy 1998 Trust
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Nicole Lomibao
Arbitrator(s): John J. Flynn, Robert H. Cornell, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 15-02806 | 03/16/2016 | Claimant(s): Clark Ver Hulst
Claimant Lawyers(s): Clark Ver Hulst
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Detroit, MI
| | $0 |
