14-01946 | 04/30/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Claimant Lawyers(s): Edward J. Heffernan Respondent(s): Miguel Ballestas Respondent Lawyers(s): Jarrod J. Malone Arbitrator(s): Joel H. Holzer, Lawrence S. Silver, Herbert Branitsky Hearing Site: Ft. Lauderdale, FL
| | |
16-02067 | 05/04/2017 | Claimant(s): Jonathon Jay Marks, Suzana Rockwell Marks Claimant Lawyers(s): Jonathon Jay Marks, Suzana Rockwell Marks Respondent(s): Morgan Stanley, Lewis Robinson Respondent Lawyers(s): Timothy B. Atkins Arbitrator(s): James D. McDonald, Jeffrey R. Roth, Victoria G.A. Willingham Hearing Site: Ft. Lauderdale, FL
| | $29,360 |
15-01080 | 02/25/2016 | Claimant(s): Delfina Alvarez Claimant Lawyers(s): Delfina M. Alvarez Respondent(s): Linda Collins Respondent Lawyers(s): Geddes D. Anderson Arbitrator(s): Elena G. Rodriguez Hearing Site: Ft. Lauderdale, FL
| | $0 |
15-00352 | 09/24/2015 | Claimant(s): Jeffrey Kozial, Jeffrey Kozial as Personal Rep of Estate, Jeffrey Kozial as Ttee of the Edward W. Claimant Lawyers(s): Sara Hanley Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Alex J. Sabo Arbitrator(s): Donald Theodore Ryce Hearing Site: Ft. Lauderdale, FL
| | $0 |
14-01784 | 09/09/2015 | Claimant(s): Berta Ganapolsky Claimant Lawyers(s): Jonathan F. Claussen Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Asset Managers of Puerto Rico, UBS Trust Company of Puerto Rico Respondent Lawyers(s): Gregg M. McCormick, Roberto C. Quinones Arbitrator(s): Monroe Mitchel, Brian P. Jakes, Richard Merritt Langway Hearing Site: Ft. Lauderdale, FL
| | $0 |
12-01497 | 09/08/2015 | Claimant(s): Thomas Strouse Claimant Lawyers(s): Jeffrey R. Sonn Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Linda M. Granata, Elena G. Rodriguez, Martin M. Van Luven Hearing Site: Ft. Lauderdale, FL
| | Expungement |
12-03600 | 08/13/2014 | Claimant(s): Stephen Fleischer Claimant Lawyers(s): Jeffrey R. Sonn Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Richard C. Szuch Arbitrator(s): Richard J. Kaplan, Nanci Sondra Landy, Donna Greenspan Solomon Hearing Site: Ft. Lauderdale, FL
| | Expungement |
12-04160 | 08/01/2014 | Claimant(s): George Johns Claimant Lawyers(s): Moshe Y. Singer Respondent(s): FMSBONDS. Respondent Lawyers(s): Sydney A. Marks Arbitrator(s): Richard S. Zaifert, Elena G. Rodriguez, Joel K. Gustafson Hearing Site: Ft. Lauderdale, FL
| | Stipulated Award |
12-02543 | 06/17/2014 | Claimant(s): Jill Meyer, William Meyer, William G. Meyer, as Trustee Claimant Lawyers(s): Raquel Terrigno Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Bradley B. Rounsaville Arbitrator(s): Nancy J. Cliff, Gustavus L. Pearthree, Philip L. Manczak Hearing Site: Ft. Lauderdale, FL
| | Expungement |
12-03645 | 05/01/2014 | Claimant(s): Gary Robertson, Griffin Capital(Independence) Investor Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Questar Capital Corporation Respondent Lawyers(s): Jesse Linebaugh Arbitrator(s): Jeffrey R. Roth, C. Richard Mancini, Stefano Ferruggia Hearing Site: Ft. Lauderdale, FL
| | $135,000 |