| 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 |
| 12-01194 | 07/29/2014 | Claimant(s): Kira Flanzraich, Neil Flanzraich, FBO Neil Flanzraich Def Ben Pl Dtd1/1/95, U/A Dtd 11/15/2000 Kira Flanzraich TRT, U/A Dtd 11/15/2000 Neil Flanzraich TRT, U/A Dtd 11/15/2000 by Neil Flanzraich, U/A Dtd 11/28/2000 Neil Flanzraich IrTrt
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): John Westmoreland, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Peter S. Fruin
Arbitrator(s): Myron E. Levenson, Dennis J. Levin, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03873 | 07/24/2014 | Claimant(s): Martha Lazow Irrevocable Trust
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): William W. Bride, Stuart Harvey Ziegler, Jay Stewart Zeif
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02907 | 07/08/2014 | Claimant(s): Russell Madris
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Susanne J. Hollander, Rodolfo C. Angulo, Dorota J. Trzeciecka
Hearing Site: Miami, FL
| | Expungement |
