| 18-00240 | 08/08/2018 | Claimant(s): George Sirigotis
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 17-02664 | 06/25/2018 | Claimant(s): Nelson Faro
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Deborah Lichtenfeld, Michael Lichtenfeld
Respondent Lawyers(s): Neil B. Solomon
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
|  | Expungement |
| 16-03332 | 11/29/2017 | Claimant(s): Steven Pritchard
Claimant Lawyers(s): Richard A Lewins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): William A. Allen, Royal B. Lea, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 17-01039 | 10/24/2017 | Claimant(s): Manish Mehta
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): John P. Cullem
Hearing Site: Raleigh, NC
| | |
| 17-00893 | 10/11/2017 | Claimant(s): Matthew Shafer
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David G. Pittinos, Richard S. Herman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 16-00712 | 06/09/2017 | Claimant(s): Susan Wilson
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Carl Shechter, Donald Theodore Ryce, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $0 |
| 15-02894 | 04/07/2017 | Claimant(s): Daniel Pesante Armstrong
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Alise J. Henry, Joelle A. Simms
Arbitrator(s): Richard S. Zaifert, Ian S. Greig, Michael I. Rauchway
Hearing Site: Tampa, FL
| | $425 |
| 16-02082 | 02/01/2017 | Claimant(s): Nelson Faro
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
| | |
| 14-01580 | 06/29/2016 | Claimant(s): Noor Barsar
Claimant Lawyers(s): Jared Levy
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Marc T. Danon, Carl Shechter, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-01085 | 10/12/2015 | Claimant(s): Martin Oberman
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Bettymae Blum
Respondent Lawyers(s): Richard Fosher
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | Expungement |
