| 16-01865 | 04/26/2018 | Claimant(s): Wilson Colberg Trigo
Claimant Lawyers(s): Enrique J. Mendoza-Mendez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis, Kathryn D. Perreault
Arbitrator(s): Caryl S. Bernstein, Earle J. Schwarz, Orville Theodore McCormac
Hearing Site: San Juan, PR
| | |
| 14-02197 | 09/11/2015 | Claimant(s): Ryan Williams, Sharon Johnson
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Fuad Ahmed, Jinesh Brahmbhatt, Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed, Jinesh P. Brahmbhatt
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
|  | $400,300 |
| 13-01524 | 06/17/2015 | Claimant(s): Edmund Blickle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Caryl S. Bernstein, Edward J. Gutman, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | Expungement |
| 13-00612 | 10/21/2014 | Claimant(s): Kerry Edwards
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins, Jeffrey K. Compton
Arbitrator(s): Caryl S. Bernstein, Peter H. Goldberg, Karla Jayne Letsche
Hearing Site: Washington, DC
| | $100,250 |
| 12-04365 | 06/13/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Gregory Andrews
Respondent Lawyers(s): Gregory A. Andrews
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
| | |
| 11-04756 | 04/23/2013 | Claimant(s): Gerald Peragine
Claimant Lawyers(s): Jim Moyles
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Joseph F. Pittelli, Caryl S. Bernstein, Jacquelyn M. Shannon
Hearing Site: Wilmington, DE
| | |
| 10-02438 | 04/22/2013 | Claimant(s): Benjamin Vinton, Benjamin Vinton III Irrevocable Trust, Yvonne J. Vinton Residential Trust, Yvonne J. Vinton Trust DTD 2/16/98
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Caryl S. Bernstein, Bernard Herman, Charles C. Fox
Hearing Site: Wilmington, DE
| | Expungement |
| 12-00781 | 03/14/2013 | Claimant(s): L. Downs
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Donald Newlin, Gordon Crenshaw, James Newton, Milton Turner, William McCall
Respondent Lawyers(s): Dennis Ahearn, Justin Joseph D'Elia, Todd A. Zuckerbrod
Arbitrator(s): Caryl S. Bernstein, Janice L. Burnham, Mark Cammann Pyle
Hearing Site: Richmond, VA
| | |
| 10-01398 | 05/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Christopher Cunningham
Respondent Lawyers(s): Thomas P. Silis
Arbitrator(s): Bonnie K. Wachtel, Caryl S. Bernstein, Karen L. Crump-Wilson
Hearing Site: Washington, DC
| | |
| 10-04231 | 03/14/2011 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): James R. McGonigle & Kathleen C. McGonig
Respondent Lawyers(s): James R. McGonigle
Arbitrator(s): Alan J. Blocher, Caryl S. Bernstein, Edward T. Moody
Hearing Site: Wilmington, DE
| | Stipulated Award |
