| 12-01192 | 08/06/2013 | Claimant(s): Emilio Calques, Maritza Zaiter, Pedro Calques, Pedro Latorre, Pedro Zaiter, Kury Manufacturing Co..
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Nancy J. Cliff, Daniel P. Lund, Louis David Huss
Hearing Site: San Juan, PR
|  | $1,921,000 |
| 11-04716 | 04/19/2013 | Claimant(s): Joanne Gould, Michael Gould
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): John Vassalotti
Arbitrator(s): Joseph L. Bernstein, Daniel P. Lund, Harvey Russell Preston
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00225 | 04/01/2013 | Claimant(s): Victor Alvarez-Mauras
Claimant Lawyers(s): Paul Vilaro Nelms
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan Wolper
Arbitrator(s): Roy B. Gonas, Bernard A. Becker, Daniel P. Lund
Hearing Site: San Juan, PR
| | $0 |
| 11-04592 | 02/20/2013 | Claimant(s): John Herl
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): John Greer
Respondent Lawyers(s): John Michael Greer
Arbitrator(s): Jack Stein, James W. Geiger, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | $390,800 |
| 10-05742 | 01/28/2013 | Claimant(s): Julie Ossi, Michael Ossi
Claimant Lawyers(s): Michael Hill, Scott J. Link
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin L. Linehan
Arbitrator(s): Simone Sicola, J. Porter McClean, Daniel P. Lund
Hearing Site: Jacksonville, FL
| | Expungement |
| 12-01847 | 12/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Roger Haigney
Respondent Lawyers(s): Roger Gerard Haigney
Arbitrator(s): Richard S. Zaifert, Karen Z. Fischer, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-01816 | 11/26/2012 | Claimant(s): Carolyn Gilson
Claimant Lawyers(s): Jonathan Etra
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Bernard (Bob) L. Loring, Jerrold Levine, Daniel P. Lund
Hearing Site: Miami, FL
| | $367,055 |
| 12-00065 | 10/10/2012 | Claimant(s): Arthur W. Curtis, Jr. Trust, Cynthia S. Curtis Trust
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas Joseph Atkinson, Daniel P. Lund, Robert M. Bath
Hearing Site: Orlando, FL
| | Expungement |
| 11-02033 | 08/30/2012 | Claimant(s): Jeannette Rosales
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Santander Securities
Respondent Lawyers(s): Massiel Bermudez Rios
Arbitrator(s): Steven Gerard Goerke, David P. Slater, Daniel P. Lund
Hearing Site: San Juan, PR
| | |
| 10-03760 | 03/09/2012 | Claimant(s): Miguel Gaud
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Popular Securities.
Respondent Lawyers(s): Heidi L. Rodriguez Benitez
Arbitrator(s): Michael Lau, S. William Gersten, Daniel P. Lund
Hearing Site: San Juan, PR
| | $120,300 |
