| 20-02615 | 03/11/2021 | Claimant(s): Dwight Emanuelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 19-03841 | 12/08/2020 | Claimant(s): Alex Muscati
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Prudential Equity Group, Morgan Stanley, Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anthony Paduano, Christopher M. Sacco, Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
| | |
| 19-03718 | 09/03/2020 | Claimant(s): Gonzalo Castano
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | |
| 19-03716 | 09/01/2020 | Claimant(s): Miguel Carrillo
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 19-03715 | 08/05/2020 | Claimant(s): Gonzalo Castano, Miguel Carrillo
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 19-00468 | 11/29/2019 | Claimant(s): Michael Hopkins
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | |
| 19-00495 | 11/19/2019 | Claimant(s): Stephen Martin
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms, Jon D. Kaplon
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 19-00020 | 11/05/2019 | Claimant(s): Don D'Adesky
Claimant Lawyers(s): Lindsay Nasshorn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 19-00649 | 10/18/2019 | Claimant(s): Wesley Singleton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | |
| 18-03476 | 05/08/2019 | Claimant(s): Brett Oley
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
