| 18-00768 | 02/20/2019 | Claimant(s): Joseph Caselle
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 18-01678 | 01/11/2019 | Claimant(s): Daryn Pingleton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
| | |
| 13-02917 | 04/04/2014 | Claimant(s): Charles Moehrke Jr., Norris Cotton
Claimant Lawyers(s): Charles Henry Moehrke, Norris Gates Cotton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): C. Marcus Harris, Celeste A. Beron, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
| | |
| 10-02267 | 12/19/2011 | Claimant(s): Jennifer Cross
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): J. Maxwell Williams
Hearing Site: Memphis, TN
|  | Expungement |
