| 14-00446 | 09/09/2015 | Claimant(s): Janna Yarbrough
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Gary Brownfield, Commonwealth Financial Network
Respondent Lawyers(s): Michael G. Brown
Arbitrator(s): William L. Cravens, Richard C. Corse, Lawrence R. Maxwell
Hearing Site: Dallas, TX
|  | $65,250 |
| 14-01121 | 09/09/2015 | Claimant(s): Joseph Mizrahi, Joseph S. Mizrahi Trust DTD 06/04/1996
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-01784 | 09/09/2015 | Claimant(s): Berta Ganapolsky
Claimant Lawyers(s): Jonathan F. Claussen
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Asset Managers of Puerto Rico, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Gregg M. McCormick, Roberto C. Quinones
Arbitrator(s): Monroe Mitchel, Brian P. Jakes, Richard Merritt Langway
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 15-00455 | 09/09/2015 | Claimant(s): Thomas Carney
Claimant Lawyers(s): Thomas R. Carney
Respondent(s): John Zimmer
Respondent Lawyers(s): Cheryl Harris
Arbitrator(s): Ronald J. Colombo
Hearing Site: Newark, NJ
| | $25 |
| 12-01497 | 09/08/2015 | Claimant(s): Thomas Strouse
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Linda M. Granata, Elena G. Rodriguez, Martin M. Van Luven
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 13-03730 | 09/04/2015 | Claimant(s): Nizam Meah, Griffin Capital (Westmont) Investor 19,
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services., Justin Swope
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): William R. Jonson, Stephen James Cavanaugh, John Chelsea Allman
Hearing Site: Houston, TX
| | Expungement |
| 14-00868 | 09/04/2015 | Claimant(s): Janelle Lopez Walker
Claimant Lawyers(s): David Liebrader
Respondent(s): Wells Fargo Advisors, Darwin Wisener
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
| 14-03456 | 09/04/2015 | Claimant(s): Margaret Shaft, Mark Shaft
Claimant Lawyers(s): John J. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
| | $0 |
| 14-01035 | 09/03/2015 | Claimant(s): Esther Rubin
Claimant Lawyers(s): Esther Rubin
Respondent(s): Debra Bushman, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | Expungement |
| 13-01840 | 09/03/2015 | Claimant(s): Estate of Julia M. Crosman
Claimant Lawyers(s): Donald G. McGrath
Respondent(s): Kathryn Warsitz, Warsitz Associates.
Respondent Lawyers(s): Michael S. Finkelstein
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
| | $113 |
