| 19-02885 | 01/07/2021 | Claimant(s): Judith Thumann
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): Kevin Larson, Kimberley Holweger, Marcelino Alicea, Cetera Advisors LLC., Financial Fidelity Services.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom, Alan C. Granath, George Pinckney Shingler
Hearing Site: Atlanta, GA
|  | Expungement |
| 18-04140 | 06/18/2020 | Claimant(s): Lewis Lester, CU Capital Market Solutions
Claimant Lawyers(s): Steven Lawrence Polk
Respondent(s): Jeremy Colvin, Olden Lane Securities
Respondent Lawyers(s): John D. Coyle
Arbitrator(s): Robert H. Putnam, Alan C. Granath, Brian Francis Pocock
Hearing Site: Atlanta, GA
| | |
| 17-00592 | 03/29/2018 | Claimant(s): Juan Medero-Fernandez, Maria Navedo, Juan Medero-Fernandez Retirement Plan
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Jaime H. Scivley, Roberto C. Quinones
Arbitrator(s): Robert J. Gregory, Alan C. Granath, Ronald L. Goss
Hearing Site: San Juan, PR
| | $1,880,000 |
| 09-04497 | 03/02/2011 | Claimant(s): Ann Whatley, Bryan Matz, David Yurko, Dawn Funari, Elizabeth Daugherty, Elizabeth Evans, Frank Carter, Helen Reynolds, John Evans, Kathleen Lowe, Katrina Yurko, Kevin Phillips, Kevin Riley, Marcus Funari, Marissa Yurko, Melvin Drukman, Michael Reynolds, Patricia Carter, R. Janet Ridlen, Rita McGinley, et al
Claimant Lawyers(s): John Chapman
Respondent(s): Stephen Wild, Proequities.
Respondent Lawyers(s): Melinda L. Peevy, William G Leonard
Arbitrator(s): Robert A. Dean, Dimitri Angelo Dodys, Alan C. Granath
Hearing Site: Atlanta, GA
| | $187,600 |
