| 18-01790 | 04/11/2019 | Claimant(s): Frank Auyeung
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Wells Fargo Clearing Services, Wells Fargo Investments, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Randi Perry Spallina
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 18-02188 | 02/12/2019 | Claimant(s): Simon Holford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 18-01153 | 12/13/2018 | Claimant(s): Kurt Jackson
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 17-02517 | 04/30/2018 | Claimant(s): Tara Sanders
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 15-03421 | 03/20/2018 | Claimant(s): Antonio Gnocchi Franco, A.G. Franco Law Off. Pension Plan 1/1/89
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi Perry Spallina, Sara Soto
Arbitrator(s): Lawrence S. Silver, Gilbert A. Schnirman, Will Murphy
Hearing Site: Miami, FL
|  | $270,639 |
| 16-03567 | 07/11/2017 | Claimant(s): Phillip Scott
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 13-03717 | 02/14/2017 | Claimant(s): The Fideicomiso Santa Barbara Trust
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Randi Perry Spallina, Ross Firsenbaum
Arbitrator(s): Jerrold Levine, Richard S. Herman, Carl Henry Perdue
Hearing Site: Miami, FL
| | $363,875 |
| 12-03688 | 06/04/2015 | Claimant(s): Ortopedas Associados Del Oeste Retiremen
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Richard J. Kaplan, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | Expungement |
| 11-03905 | 05/21/2015 | Claimant(s): CSCG.
Claimant Lawyers(s): Francisco J. Villarrubia
Respondent(s): UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven Gerard Goerke, Robert G. Falbisaner, Abigail Falcon-Rosa
Hearing Site: San Juan, PR
| | Expungement |
| 12-03425 | 03/10/2015 | Claimant(s): Randy Karp & Associates Defined Benefit, Randy Karp Rollover IRA
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Harry J Saginaw, Lawrence R. Maxwell, Melvin H. Wolovits
Hearing Site: Dallas, TX
| | Expungement |
