18-02695 | 02/18/2020 | Claimant(s): David Whelchel, Shawn Lesser Claimant Lawyers(s): Eric J. Taylor Respondent(s): Intellivest Securities. Respondent Lawyers(s): James A. Nofi Arbitrator(s): Daniel E Gulden, Robert Payne Koven, Jeffrey Alperin Hearing Site: Atlanta, GA
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14-01511 | 03/23/2017 | Claimant(s): Irving Vega Baez, Lourdes Anadon Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez, Jeffrey Erez Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Matthew C. Plant, Roberto C. Quinones Arbitrator(s): Daniel E. Gulden, Will Murphy, Robert J. Gregory Hearing Site: San Juan, PR
| | Expungement |
15-03338 | 02/15/2017 | Claimant(s): Thurman Willis Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Matthew E. Wolper Arbitrator(s): Daniel E. Gulden, Samuel Appel, Brock Bingham Gordon Hearing Site: Atlanta, GA
| | $0 |
14-02223 | 04/22/2015 | Claimant(s): Vithal Kusuma Life Insurance Trust Claimant Lawyers(s): Peter C. Rageas Respondent(s): John Haire, Lincoln Financial Advisors Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Daniel E. Gulden, Yvette L. Nurse, Wallace T. Tanksley Hearing Site: Atlanta, GA
| | $0 |
13-01223 | 06/25/2014 | Claimant(s): Uzoamaka Akpele Claimant Lawyers(s): Bobby C. Aniekwu Respondent(s): Frederick Brown, Oppenheimer & Co.. Respondent Lawyers(s): James A. Nofi Arbitrator(s): Daniel E. Gulden, John N. Breazeale, Robert C. Port Hearing Site: Atlanta, GA
| | $600 |
12-01227 | 11/30/2012 | Claimant(s): Timothy Clemm Claimant Lawyers(s): Timothy L. Clemm Respondent(s): E*Trade Securities Respondent Lawyers(s): John Bersin Arbitrator(s): Daniel E. Gulden Hearing Site: Atlanta, GA
| | $7,320 |
11-03359 | 11/28/2012 | Claimant(s): VSR Financial Services. Claimant Lawyers(s): Scott N Sherman Respondent(s): Dave Duley Respondent Lawyers(s): Brian N. Smiley Arbitrator(s): Daniel E. Gulden, Cheryl A. Hooks, John F. O'Neill Hearing Site: Atlanta, GA
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10-05020 | 06/20/2012 | Claimant(s): Raymond Kowalewski Claimant Lawyers(s): Charles M. Dalziel Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Matthew Simpson Arbitrator(s): Daniel E. Gulden, Joyce F. Glucksman, Robert Payne Koven Hearing Site: Atlanta, GA
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09-04186 | 07/06/2010 | Claimant(s): Gordon Church, Kyle Church, The Trust U/W Margaret P. Barnett Claimant Lawyers(s): Edward J. Dovin Respondent(s): Sanford C. Bernstein & Co. Respondent Lawyers(s): Sean M. Murphy Arbitrator(s): Perry Lee Taylor, Daniel E. Gulden, Brock Bingham Gordon Hearing Site: Atlanta, GA
| | $0 |
09-01160 | 09/03/2009 | Claimant(s): Michael Schirk, Susan Van Gee Claimant Lawyers(s): Samuel T. Brannan Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Evelyn A. Christensen Arbitrator(s): Daniel E. Gulden Hearing Site: Atlanta, GA
| | $213 |