| 21-02040 | 05/13/2022 | Claimant(s): Diana McDaniel, Marc McDaniel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert Stewart Barney, MaryJane Rabier, Gerald Michael Richardson
Hearing Site: St. Louis, MO
|  | Expungement |
| 19-01296 | 08/12/2021 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Ronald Behymer
Respondent Lawyers(s): Niel Prosser
Arbitrator(s): Kenneth R. Starr, Chirag Dinesh Chauhan, Robert Stewart Barney
Hearing Site: Memphis, TN
| | |
| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Settlement |
| 18-02391 | 11/25/2019 | Claimant(s): Iraida Nigaglioni
Claimant Lawyers(s): Eric Quetglas Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Daniel R. Korb, Roberto C. Quinones
Arbitrator(s): Eric Spencer Buchanan, Robert Stewart Barney, Magda M. Fernandez Torres
Hearing Site: San Juan, PR
| | $215,738 |
| 16-02528 | 05/20/2019 | Claimant(s): Carmen Macias, Pedro Diez, Pedro Diez Macias, Vissepo & Diez Construction Corp., Diez Macias 1 Trust, Pefedima Trust
Claimant Lawyers(s): Jeffrey Erez, Lloyd R. Schewd
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Roger C. Benson, Mauricio Arcadier, Robert Stewart Barney
Hearing Site: San Juan, PR
| | $7,839,130 |
| 17-02830 | 11/06/2018 | Claimant(s): Beth Rowlett, Carter Towne, Donna Lester, James Thannum, Janice Jeffrey, Judy Wormser, Margaret Bryant, Mary Jo Kearfort, Robert Burns, Steve Beaulieu, Thomas Scherer, Vicki Currie, Virginia Scherer
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): John P. Cullem, Patricia Best Vital, Robert Stewart Barney
Hearing Site: Memphis, TN
| | $0 |
| 15-02609 | 06/23/2017 | Claimant(s): Todd Clay
Claimant Lawyers(s): Jonathan LA Phillips
Respondent(s): Chapin, Davis
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Joseph R. Soraghan, Matthew Patrick McCauley, Robert Stewart Barney
Hearing Site: St. Louis, MO
| | |
| 14-02122 | 05/22/2017 | Claimant(s): Aida Mancini, Conchita Rivera, Joaqmar.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Frank J. Cuccio, Matthew C. Plant
Arbitrator(s): Monroe Mitchel, Keith L. Saunders, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Expungement |
| 14-03275 | 05/27/2016 | Claimant(s): Niles Christodoulidis
Claimant Lawyers(s): Larry E Parrish
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): John G. Manley, Robert Alexander McLean, Robert Stewart Barney
Hearing Site: Memphis, TN
| | |
| 14-03171 | 02/19/2016 | Claimant(s): Ivan Rodriguez
Claimant Lawyers(s): Samuel Rodriguez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Kenneth M. Jackson, Melva J. Harmon, Robert Stewart Barney
Hearing Site: Memphis, TN
| | |
