14-01263 | 10/08/2015 | Claimant(s): Fideicomiso Lalmfc Trust Claimant Lawyers(s): Lutgardo Acevedo Lopez Respondent(s): Popular Securities Respondent Lawyers(s): Nathan W. Lamb Arbitrator(s): Steven P. Gregory, Harry G. Mason, Sydney E. Blum Hearing Site: San Juan, PR
| | $0 |
13-03530 | 06/25/2015 | Claimant(s): Oscar Zuniga Claimant Lawyers(s): Harold Vicente-Colon Respondent(s): Carlos Ubinas Taylor, Doel Garciaromero, Jose Crescioni, UBS Financial Services Inc., UBS Financial Services Inc of PR Respondent Lawyers(s): Carlos A. Valldejuly-Sastre, Joelle Simms, Leslie Y. Flores-Rodriguez, Mauricio O. Muniz-Luciano, Roberto C. Quinones Arbitrator(s): Daniel H. Yaffe, Barry David Thorpe, Harry G. Mason Hearing Site: Boca Raton, FL
| | Expungement |
12-03380 | 11/25/2014 | Claimant(s): Brendan Lavelle Claimant Lawyers(s): Jonathan S. Sack Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): J. Michael Riordan Arbitrator(s): Harry G. Mason, Anthony J. Carpinello, Alfred G. Feliu Hearing Site: New York, NY
| | |
12-03171 | 06/03/2013 | Claimant(s): Mark Klopfenstein, Molly Klopfenstein, TranStar Capital Ventures LLC Claimant Lawyers(s): Robert K. Crowe Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): Harry G. Mason, Robert A. Dean, Osei J Adoma Hearing Site: Atlanta, GA
| | Dismissed by Rule 12206/12504 |
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 |
10-01216 | 07/19/2012 | Claimant(s): Linda Eydt Claimant Lawyers(s): James C. Cifelli Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): J. Michael Riordan Arbitrator(s): Michael J. Ahlstrom, Joyce F. Glucksman, Harry G. Mason Hearing Site: Atlanta, GA
| | |
11-03686 | 03/22/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher S. Griesmeyer Respondent(s): Carter Inglis Respondent Lawyers(s): Carter Alexander Inglis Arbitrator(s): Harry G. Mason Hearing Site: Atlanta, GA
| | |
10-05212 | 12/08/2011 | Claimant(s): William Brooks Claimant Lawyers(s): Cary Ichter Respondent(s): Wells Fargo Advisors, Lawrence Rule Respondent Lawyers(s): Glenn A. Delk, Keith J. Barnett Arbitrator(s): Harry G. Mason, Bruce W. Bennett, James Roland Brumbelow Hearing Site: Atlanta, GA
| | $214,100 |
08-01662 | 10/16/2009 | Claimant(s): Charles Smith Claimant Lawyers(s): Richard Frankowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Andrea Morgan Greene Arbitrator(s): Harry G. Mason Hearing Site: Atlanta, GA
| | $0 |