| 13-03534 | 09/02/2015 | Claimant(s): Constance P. Kolberg, IRRA, Bruce A. Kolberg & Constance P. Kolberg
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): James H. Colburn, Arlen G. Restad, Lavon C. Phillips
Hearing Site: Minneapolis, MN
|  | Expungement |
| 14-03198 | 09/01/2015 | Claimant(s): Shirley Thames
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Steven P. Gregory
Hearing Site: Birmingham, AL
| | Expungement |
| 14-02069 | 09/01/2015 | Claimant(s): Charles Rayburn, Pamela Rayburn
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TradeKing
Respondent Lawyers(s): Paul McCurdy
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $2,500 |
| 13-03784 | 08/31/2015 | Claimant(s): Ana Lopez-Gonzalez, Andres Ricardo Gomez, Wave Management LLC, as Trustee for AG I
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Peter J. Macdonald, Roberto C. Quinones
Arbitrator(s): Stuart K. Furman, Frances Johnson Wright, Joseph John Mantione
Hearing Site: San Juan, PR
| | $2,930,080 |
| 14-00560 | 08/28/2015 | Claimant(s): Barry Bruck, Enid Bruck, Enid Bruck and Barry Bruck JTWROS
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Monroe Mitchel, Daniel Joseph Chiodo, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00780 | 08/28/2015 | Claimant(s): Pablo Aponte Diaz
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): OFS Securities., Oriental Financial Services Corp., Santander Securities LLC
Respondent Lawyers(s): Paul A. Rodriguez-Velez
Arbitrator(s): James W. Geiger
Hearing Site: San Juan, PR
| | Expungement |
| 14-03156 | 08/28/2015 | Claimant(s): Scott Singleton
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
| | $13 |
| 13-01659 | 08/27/2015 | Claimant(s): Raymond DiPaula
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela Turiano
Arbitrator(s): Henry W. Grady, John F. Allgood, Marcia A. Ogilvie
Hearing Site: Atlanta, GA
| | Expungement |
| 14-03666 | 08/27/2015 | Claimant(s): Arthur Storniola
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): M.D. Sass Securities, L.L.C.
Respondent Lawyers(s): Barry S. Pollack
Arbitrator(s): Martin A. Edelstein, Sam Antar, Alan Robert Sacks
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 14-01583 | 08/26/2015 | Claimant(s): Marta Stiehl, Victor Fernandez Stiehl, Vivianne Garcia-Fernandez
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Velez-Santiago
Arbitrator(s): Steven R. Reininger, Edward E. Walton, Dorota J. Trzeciecka
Hearing Site: San Juan, PR
| | Expungement |
