| 14-01851 | 11/14/2016 | Claimant(s): Jose Biaggi Junquera, Josefina Landron
Claimant Lawyers(s): Francisco Pujol, Frank A. Dalmau
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Robert J. Morris, Earle J. Schwarz, Robert Finder
Hearing Site: San Juan, PR
|  | Expungement |
| 15-02664 | 10/24/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): Kevin Farrow
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Robert Finder, Lane A. Fentriss, Ronald Charles Waters
Hearing Site: Orlando, FL
| | |
| 14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg
Hearing Site: San Juan, PR
| | Expungement |
| 11-04194 | 01/27/2015 | Claimant(s): The Geiersbach Family Trust
Claimant Lawyers(s): Kyla V. Alexander
Respondent(s): Doreen Scott, Ameriprise Financial Services.
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Charles R. Tindell, Gail E. Sasnett-Stauffer, Robert Finder
Hearing Site: Jacksonville, FL
| | $0 |
| 13-01933 | 04/10/2014 | Claimant(s): Michael Celso
Claimant Lawyers(s): Brian Horwitz
Respondent(s): Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Stuart K. Furman, Robert Finder, Alexander Joseph Sikora
Hearing Site: Orlando, FL
| | |
| 12-00346 | 02/13/2013 | Claimant(s): Daisha LaMontague as Tr. to Elenor Nagel
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Cindy L. Anderson, Pamela Jeanne Rush, Robert Finder
Hearing Site: Jacksonville, FL
| | $0 |
| 11-01672 | 01/22/2013 | Claimant(s): James Greenshields
Claimant Lawyers(s): James Greenshields
Respondent(s): James Klefeker, TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert Finder, Ralph Kennedy Frasier, Angelo J. Infantino
Hearing Site: Jacksonville, FL
| | $0 |
| 12-02087 | 11/14/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Nicole Sharp
Respondent Lawyers(s): Nicole Malec Sharp
Arbitrator(s): Robert Finder
Hearing Site: Jacksonville, FL
| | |
| 10-01051 | 07/07/2011 | Claimant(s): James D. Adkins, Stephanie L. Adkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Wells Fargo Advisors, Ernest Watson, Jeff Tucker
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Warren A. Forest, Robert Finder, A.J. Seier
Hearing Site: Orlando, FL
| | $217,928 |
| 09-06035 | 11/16/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Daniel S. Fiore
Respondent(s): Cortes Bicking
Respondent Lawyers(s): Cortes Jody Bicking
Arbitrator(s): Lewis W. Slaughter, Jack A. Helms, Robert Finder
Hearing Site: Jacksonville, FL
| | |
