| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
|  | $0 |
| 11-01096 | 07/31/2012 | Claimant(s): Karen Sallerson, Ronald Sallerson
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | Expungement |
| 09-07088 | 12/27/2010 | Claimant(s): Eugene Pascarella, Mary Pascarella
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Ron Pekoe, Marc T. Danon, Robert H. Nelson
Hearing Site: Orlando, FL
| | $75,000 |
| 09-02643 | 05/20/2010 | Claimant(s): Carol Bell, Walter Bell
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): V. Michael Pabalis, Dennis R. Nolte, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
| 09-00272 | 02/03/2010 | Claimant(s): Margery Binch
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Beverly S. Gordon, Cindy L. Anderson, Dennis R. Nolte
Hearing Site: Orlando, FL
| | $50,300 |
| 08-00688 | 12/29/2009 | Claimant(s): P. Isenberg
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Synergy Investment Group
Respondent Lawyers(s): Dexter B. Johnson
Arbitrator(s): Robert T. Allen, Mary C. Thornberry, David M. Pierce
Hearing Site: Charlotte, NC
| | |
| 08-03262 | 11/12/2009 | Claimant(s): Jose Orlando Aguirre, Williams Baina Antezana
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Hector Gallardo
Respondent Lawyers(s): Hector J. Gallardo
Arbitrator(s): Bernard Hornick, Gail E. Sasnett-Stauffer, James P. Ryan
Hearing Site: Orlando, FL
| | $876,774 |
| 08-02448 | 09/23/2009 | Claimant(s): Ava Doppelt, Carl Napolitano, Herbert Allen, Michael Taylor, Richard Warther, Sandra Kemraj, Stephen Milbrath, 401k PSP & Trust for Employees
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Stan West, Irwin Baron, Mitchel Weiss
Hearing Site: Orlando, FL
| | $0 |
| 08-02376 | 03/25/2009 | Claimant(s): Richard Wolff, Ruth Wolff
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Stifel Nicolaus & Company. as Succe
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert J. Walter, Stephen A. Saker, Arve Alexander Wikstrom
Hearing Site: Orlando, FL
| | $158,228 |
