| 15-00081 | 10/13/2015 | Claimant(s): Julian Osterneck
Claimant Lawyers(s): Julian Osterneck
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
|  | $0 |
| 14-00886 | 10/09/2015 | Claimant(s): Carmen Buono Colon
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Popular Securities, Santander Securities LLC
Respondent Lawyers(s): Nathan W. Lamb, Sara L. Velez-Santiago
Arbitrator(s): James W. Geiger, William H. Fleece, Robert Jerry Strader
Hearing Site: San Juan, PR
| | Expungement |
| 14-02846 | 10/09/2015 | Claimant(s): Don Slutsky, Matthew Slutsky, Peter Slutsky, Phyllis Slutsky
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stifel, Nicolaus & Co.., Robert Franco, Thomas Chance
Respondent Lawyers(s): Jeffrey C Primiano
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-01690 | 10/08/2015 | Claimant(s): The Estate of Gregory N. McKnight, The Estate of Legisi Holdings, The Estate of Legisi Marketing.
Claimant Lawyers(s): Charles E. Murphy
Respondent(s): Alan Goddard, Eric Bloom, Michael Lichtenstein, Allen Goddard McGowan Pak & Partners LLC
Respondent Lawyers(s): Eric Bloom, Jerome M. Selvers
Arbitrator(s): Suzanne H Slick, James L. Karpen, Harvey Burdick
Hearing Site: Detroit, MI
| | Stipulated Award |
| 13-03403 | 10/08/2015 | Claimant(s): Emma De Perez, Fe Morales, Pedro Gomez, Conjugal Partnership Constituted by Them
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): Will Murphy, Allan R. Lazor, Scott A. Eichhorn
Hearing Site: San Juan, PR
| | $85,626 |
| 15-00210 | 10/08/2015 | Claimant(s): Hickman Kite, Katie Kite
Claimant Lawyers(s): Phillip L. Boyd, Robert L. Arrington
Respondent(s): Allyson Reed, Brian Murray, Christopher Belle, Christopher Taylor, Jesse Dietz, Edward Jones
Respondent Lawyers(s): Allyson Louise Reed, Christopher Alan Taylor, Dennis J. Capriglione, Jesse Logan Dietz
Arbitrator(s): Kenneth M. Jackson, Joseph Charles Smolira, Enrico A. Mazzoli
Hearing Site: Nashville, TN
| | Expungement |
| 14-01263 | 10/08/2015 | Claimant(s): Fideicomiso Lalmfc Trust
Claimant Lawyers(s): Lutgardo Acevedo Lopez
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven P. Gregory, Harry G. Mason, Sydney E. Blum
Hearing Site: San Juan, PR
| | $0 |
| 12-01523 | 10/06/2015 | Claimant(s): Mary Ramsey, The Mary A. Ramsey Living Trust
Claimant Lawyers(s): Mary A. Ramsey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Amanda M. Cole, Mimi B. Osiason, Pamela Jeanne Rush
Hearing Site: Jacksonville, FL
| | Expungement |
| 13-02789 | 10/05/2015 | Claimant(s): Robert Dembosky
Claimant Lawyers(s): Thomas K. Caldwell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Timothy J. Currier, Mayra Adela Rodriguez, William Joseph Caprathe
Hearing Site: Detroit, MI
| | $159,923 |
| 15-00301 | 10/05/2015 | Claimant(s): Claudia Billings, Claudia A. and Robert M. Billings
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Kevin Fifer, Capital City Securities, Regis Asset Management LLC
Respondent Lawyers(s): Dennis J. Concilla, Kevin L. Fifer, Robert K. Cargin
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
| | $37,912 |
