| 16-01409 | 01/29/2019 | Claimant(s): Ana Bared, Luis Bared
Claimant Lawyers(s): Francisco Pujol Meneses, Harold D. Vicente Colon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Stuart K. Furman, Kenneth R. Starr, John Joseph Sullivan
Hearing Site: San Juan, PR
|  | Expungement |
| 18-00194 | 12/10/2018 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Stuart K. Furman
Hearing Site: Raleigh, NC
| | |
| 18-00966 | 10/23/2018 | Claimant(s): Andrew Adams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Stuart K. Furman
Hearing Site: Jackson, MS
| | |
| 17-02881 | 09/13/2018 | Claimant(s): Marko Rendic
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Frances R. Pesquera Rivera
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
| | |
| 14-02939 | 05/09/2018 | Claimant(s): International Assets Advisory
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Edward Cofrancesco, Mauricio Cardenas, Michael Montalvo
Respondent Lawyers(s): Curtis Carlson, Tracy L. Gerber
Arbitrator(s): Stuart K. Furman, Avery B. Goodman, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | |
| 17-00371 | 11/14/2017 | Claimant(s): Robert Pippenger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services., The Prudential Insurance Company Of Amer
Respondent Lawyers(s): Alan S. Brodherson, Sydney Crowder
Arbitrator(s): Stuart K. Furman
Hearing Site: Nashville, TN
| | |
| 16-02217 | 11/07/2017 | Claimant(s): Benjamin Butera
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
| 16-02149 | 10/17/2017 | Claimant(s): John Yannick
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima Hartman
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | |
| 12-02514 | 08/16/2017 | Claimant(s): Denise Solis, Denise F. Solis, Trustee/Rev. Trust
Claimant Lawyers(s): Brian D. Miller, Tucker H. Byrd
Respondent(s): Alyn Towne, Sterling Enterprises Group.
Respondent Lawyers(s): Alyn Lee Towne
Arbitrator(s): Jane L. Lawless, Stuart K. Furman
Hearing Site: Orlando, FL
| | Stipulated Award |
| 16-00036 | 05/17/2017 | Claimant(s): Richard Patterson, Richard Patterson Rev Liv Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Ron Pekoe, Mark R. Topper, Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
