| 19-00018 | 07/29/2020 | Claimant(s): Ellin Einhorn IRA, Stuart M. Einhorn Rollover IRA
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Amanda M. Cole
Hearing Site: Jacksonville, FL
|  | Settlement |
| 18-00838 | 06/24/2020 | Claimant(s): Charles Ross
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): John P. Cullem, Richard S. Zaifert, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | Dismissed by Rule 12206/12504 |
| 19-03274 | 04/20/2020 | Claimant(s): Robert Franskousky
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Louis David Huss
Hearing Site: Jacksonville, FL
| | |
| 19-02324 | 03/23/2020 | Claimant(s): David Vigil
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
| | |
| 19-02325 | 03/21/2020 | Claimant(s): David Vigil
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Karl A. Vogeler
Hearing Site: Jacksonville, FL
| | |
| 18-04053 | 01/21/2020 | Claimant(s): Barry Cooper
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Andrew Murdoch, Brian Horn, Scott Sadar, Thomas Hamlin, Somerset Securities.
Respondent Lawyers(s): Harris Freedman, Scott L. Mullins, Thomas Hamlin
Arbitrator(s): Muriel Desloovere, Gerald Thomas Harper, David Henry Samson
Hearing Site: Jacksonville, FL
| | $0 |
| 19-01860 | 12/30/2019 | Claimant(s): Larry Longhi
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): James Ray
Respondent Lawyers(s): James William Ray
Arbitrator(s): Nicholas John Taldone, Gayle B. Carlson, Isaac D. East
Hearing Site: Jacksonville, FL
| | $159,300 |
| 18-00884 | 12/17/2019 | Claimant(s): Johnny Scott
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): John P. Cullem
Hearing Site: Jacksonville, FL
| | $0 |
| 19-01238 | 11/19/2019 | Claimant(s): Scott Hilton
Claimant Lawyers(s): Joseph A. Vallo
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia S. Cowart
Arbitrator(s): Maurice M. Feller, Adam Murray Walters, Niels Patrick Murphy
Hearing Site: Jacksonville, FL
| | |
| 18-03051 | 07/30/2019 | Claimant(s): Melissa Wright
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): BB&T Securities
Respondent Lawyers(s): Robert P. Howard
Arbitrator(s): Pamela Jeanne Rush, Brian Michael Kane, Terrence L. Harvey
Hearing Site: Jacksonville, FL
| | |
