| 17-01468 | 11/15/2017 | Claimant(s): Edward Miller
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | |
| 17-00743 | 10/20/2017 | Claimant(s): Frank Carrasco
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | |
| 15-01777 | 06/05/2017 | Claimant(s): Ana Maria Estrella
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Mollie Wagner Neal, George Harrison Lemmond, Deborah Johns Tatum
Hearing Site: Atlanta, GA
|  | Expungement |
| 14-02056 | 02/24/2017 | Claimant(s): Jo Ann Bennett, Jasmine A. Hopson, Laprecious Hopson, Cevera H. Davis, IRA, Gloria Stamps, Jo Ann Bennet, Roth IRA, Maggie M. Cooper, Marilyn Grather, Marvin L. Falvey, Nancy Falvey, Patty L. Myers, Roy E. Crampton III IRA Rollover, Roy E. Crampton, Russell L. Laird, W.L. Cupit, William D. Falvey
Claimant Lawyers(s): Judson M. Lee
Respondent(s): Logan Phillips, Morgan Keegan & Company, Raymond, James & Associates.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Barbara L. Edin, Mollie Wagner Neal, William T. Bowen
Hearing Site: Jackson, MS
| | $761,771 |
| 15-01675 | 02/10/2017 | Claimant(s): David L. Oldani
Claimant Lawyers(s): Richard Frankowski
Respondent(s): UBS Financial Services Inc., Stewart Anderson
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Nashville, TN
| | $0 |
| 14-03382 | 08/18/2015 | Claimant(s): Robert O. Porter and Mary H. Porter Fami
Claimant Lawyers(s): Robert A Prahl
Respondent(s): Wells Fargo Advisors, Laheeb Karana
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | Expungement |
| 14-00774 | 06/15/2015 | Claimant(s): Jerry Dean, Jerry Dean IRA, Roth IRA and SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Mollie Wagner Neal, Sanford S. Finder, Harvey Russell Preston
Hearing Site: Columbia, SC
| | $122,000 |
| 13-02530 | 01/29/2015 | Claimant(s): Christopher & Jacqueline Stone
Claimant Lawyers(s): Dave Maxfield
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Columbia, SC
| | Expungement |
| 10-03818 | 12/02/2013 | Claimant(s): Carey C. Steger, Estate Donald Campbell
Claimant Lawyers(s): Brian N. Smiley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Chandler R Bridges, Harvey R. Linder, Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | $0 |
| 12-00064 | 02/26/2013 | Claimant(s): Catherine St. Clair
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Carol Li
Arbitrator(s): Fredrick T.W. Reed, Mollie Wagner Neal, Harry G. Mason
Hearing Site: Atlanta, GA
| | Expungement |
