| 22-01176 | 02/26/2024 | Claimant(s): Marlin Andrews
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co.., William Humber
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon
Hearing Site: Birmingham, AL
|  | $0 |
| 18-03368 | 06/24/2019 | Claimant(s): David Petty
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Debra Black Leo
Hearing Site: Birmingham, AL
| | |
| 18-02195 | 06/14/2019 | Claimant(s): David Strickland
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Lewis Vastine Stabler, Samuel Appel, Debra Black Leo
Hearing Site: Birmingham, AL
| | $153,068 |
| 15-02079 | 10/23/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): S. Creekbaum
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Debra Black Leo, Charles Lange Clark, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | |
| 17-02145 | 09/25/2018 | Claimant(s): Brett LaFerrera
Claimant Lawyers(s): Brett Andrew LaFerrera
Respondent(s): Albert Johnson
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Donald Milo Helton, Debra Black Leo, Daniel T. Hull
Hearing Site: Birmingham, AL
| | |
| 15-02316 | 08/29/2018 | Claimant(s): Iris Burgos-Rodriguez, Jose Diaz-Burgos, Jose Diaz-Martinez, Nellie Aponte-Flecha
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Joel M. Everest
Arbitrator(s): David Edward Upton, Debra Black Leo, Ronald L. Goss
Hearing Site: San Juan, PR
| | $300,000 |
| 15-02282 | 12/19/2017 | Claimant(s): Olga Garcia Vincenty
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Salvador J. Antonetti-Stutts
Arbitrator(s): Paul Weinberg, Robert G. Falbisaner, Debra Black Leo
Hearing Site: San Juan, PR
| | Expungement |
| 16-03568 | 05/23/2017 | Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 14-01936 | 03/06/2017 | Claimant(s): Luis Gil-Quintero, Miriam Falero-Gil
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, James F. Major, Debra Black Leo
Hearing Site: San Juan, PR
| | $0 |
| 16-00808 | 08/04/2016 | Claimant(s): Udo Freyhofer
Claimant Lawyers(s): Udo H. Freyhofer
Respondent(s): Jonathon Bult, Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Deborah Gale Evans
Arbitrator(s): Debra Black Leo
Hearing Site: Birmingham, AL
| | $0 |
