14-01407 | 02/01/2016 | Claimant(s): Paula Hian Claimant Lawyers(s): David P. Heim Respondent(s): Wells Fargo Advisors, Manuel Aponte Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Alan J. Blocher, Stephen J. Scherf, Laura Marini Davis Hearing Site: Philadelphia, PA
| | Expungement |
14-01604 | 02/01/2016 | Claimant(s): Marlene Lewis, Maxim Levkov, Artek Media International Inc. Claimant Lawyers(s): David Harrison Respondent(s): Morgan Stanley Respondent Lawyers(s): Ronald Wood Arbitrator(s): Martin Olinick, Alan M. Rosen, David Paul Beauvais Hearing Site: Los Angeles, CA
| | $825,600 |
14-00322 | 02/01/2016 | Claimant(s): Gary Anglen Claimant Lawyers(s): Steven G. Legum Respondent(s): Brookville Capital Partners Respondent Lawyers(s): Brett D. Zinner Arbitrator(s): Barbara M. Anscher Hearing Site: San Francisco, CA
| | $0 |
15-01022 | 02/01/2016 | Claimant(s): Roger Beckham Claimant Lawyers(s): Scott Eichhorn Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Diana Sur Arbitrator(s): Steven Gerard Goerke Hearing Site: Boca Raton, FL
| | $0 |
14-02517 | 01/29/2016 | Claimant(s): ENME Real Estate Corp. Claimant Lawyers(s): Adolfo J. Anzola Respondent(s): Santander Securities Respondent Lawyers(s): Jorge E. Perez-Dias Arbitrator(s): Susan Meek, Scott A. Schweber, Raymond E. Cornelius Hearing Site: San Juan, PR
| | Expungement |
14-01456 | 01/29/2016 | Claimant(s): E. Gerald Eigenfeld, Norma Eigenfeld Claimant Lawyers(s): William G. Shields Respondent(s): Patrick Ayers, Ayers Financial Services, ING Financial Partners. Respondent Lawyers(s): C. Bryce Benson Arbitrator(s): Richard E. Lauziere, Janice L. Burnham, Overman Randolph Rollins Hearing Site: Richmond, VA
| | $0 |
15-02150 | 01/28/2016 | Claimant(s): Dong Suk Yang Claimant Lawyers(s): Dong Suk Yang Respondent(s): Dennis Zaplin Respondent Lawyers(s): Dennis Lee Zaplin Arbitrator(s): S. Charles Tabak Hearing Site: Newark, NJ
| | $13,779 |
14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde Claimant Lawyers(s): Eric Quetglas-Jordan Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg Hearing Site: San Juan, PR
| | Expungement |
15-00589 | 01/27/2016 | Claimant(s): Catherine Boland, Richard Graves Claimant Lawyers(s): Thomas C. Costello Respondent(s): Dawn Bennett, Western International Securities. Respondent Lawyers(s): David E. Robbins Arbitrator(s): James A. Hayes, Christopher M. McMurray Hearing Site: Baltimore, MD
| | Expungement |
16-00121 | 01/27/2016 | Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver Claimant Lawyers(s): Frank F. Sommers Respondent(s): Brent Wolf Respondent Lawyers(s): Scott L. Metzger Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly Hearing Site: San Francisco, CA
| | Expungement |