| 14-00150 | 08/18/2016 | Claimant(s): David Vallieres
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Christopher Seebeck, David Ridge, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James Christopher Lombardo, Joel M. Everest
Arbitrator(s): Lucie L. Sabella, Myron E. Levenson, Tina Scott Polsky
Hearing Site: Boca Raton, FL
| | |
| 14-02995 | 06/29/2016 | Claimant(s): Florencio De Jesus, Jose Antonio Chevres, Margarita Vazquez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Joel M. Everest, Roberto C. Quinones-Rivera
Arbitrator(s): Tina E. Patterson, Colleen Rotella, Lance A. Harke
Hearing Site: San Juan, PR
|  | $363,552 |
| 14-00862 | 02/18/2016 | Claimant(s): Carmelo Nieves, Nelly Cruz, Caguas Mechanical Contrators
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of P R
Respondent Lawyers(s): Joel M. Everest, Roberto Quinones-Rivera
Arbitrator(s): Barry David Thorpe, Brian James Tagtmeier, Frank A. Little, Jr.
Hearing Site: San Juan, PR
| | Expungement |
| 14-01649 | 12/18/2015 | Claimant(s): Luis Roldan Caraballo, Luis Roldan Caraballo IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bernard A. Becker, Lawrence Zenville Rosenberg, Carl Henry Perdue
Hearing Site: Miami, FL
| | $1,373,930 |
| 14-02502 | 12/17/2015 | Claimant(s): Michael Cordova
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Ian S. Greig, Lauren S. Puritz, Robert Wallace Rasch
Hearing Site: Orlando, FL
| | Expungement |
| 14-01271 | 12/10/2015 | Claimant(s): Lee Riggins, M.D., Lee Shefton Riggins, MD, Trustee, et al
Claimant Lawyers(s): Samuel M. Hill
Respondent(s): Joshua Rudder, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven P. Gregory, Clarence H. Hampton, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | $0 |
| 13-03509 | 08/12/2015 | Claimant(s): Ruben Gardner
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Diana A. Weiner, Jacquelyn M. Shannon, Eric Zimmer
Hearing Site: Tampa, FL
| | |
| 13-03039 | 05/22/2015 | Claimant(s): Geraldine Sura
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Keven Wedekind, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Barbara A. Johannessen, Mayra Adela Rodriguez, Seth H. Barsky
Hearing Site: Detroit, MI
| | Expungement |
| 12-03901 | 03/10/2015 | Claimant(s): Sandra Harder
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Benjamin Pahl, Fidelity Brokerage Services LLC, Money Concepts Capital Corp
Respondent Lawyers(s): Joel M. Everest, Kathy M. Klock
Arbitrator(s): Kenneth N. Adamson, Susanne J. Hollander, Harvey R. Herman
Hearing Site: Chicago, IL
| | Expungement |
| 13-02941 | 09/18/2014 | Claimant(s): Russell Hartung IRRA, Joan C. Hartung Trust J U/A DTD 07/06/93
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Thomas Joseph Atkinson, Floyd Edward Roberts, Alan E. Linden
Hearing Site: Orlando, FL
| | Expungement |
