| 17-01987 | 12/14/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel Mauch
Respondent(s): Richard Hartnett
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Jack A. Helms
Hearing Site: Columbia, SC
| | |
| 17-00554 | 12/11/2018 | Claimant(s): Muhammad Munir, Uzma Munir, Muhammad Munir SEP IRA, Muhammad and Uzma Munir
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Lita S Menkin, Jack A. Helms, John Winslow Griesser
Hearing Site: Nashville, TN
|  | Expungement |
| 17-01222 | 11/15/2018 | Claimant(s): Robert Bakst, Silvia Bakst, Silvia Bakst Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Clearing Services, Robert Elkins
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Ronald A. Isackson, Jack A. Helms, Karl A. Vogeler
Hearing Site: Tampa, FL
| | Expungement |
| 16-02940 | 10/03/2018 | Claimant(s): David Dunn
Claimant Lawyers(s): Mark E. Flagel
Respondent(s): Dominic Rota, Sean Lanci, Caldwell International Securities
Respondent Lawyers(s): Dominic Paul Rota, Paul Jacobs, Sean Francis Lanci
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | $210,000 |
| 17-03370 | 07/05/2018 | Claimant(s): Richard Fisher
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph D'Elia
Arbitrator(s): Jack A. Helms
Hearing Site: Raleigh, NC
| | |
| 16-03105 | 06/14/2018 | Claimant(s): Deborah Gartner
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Aaron Ray, Vanguard Capital
Respondent Lawyers(s): Aaron Christopher Ray, Jeffrey S. Kob
Arbitrator(s): Thomas Joseph Atkinson, Jack A. Helms, Alan E. Linden
Hearing Site: Orlando, FL
| | $90,300 |
| 16-01954 | 06/01/2018 | Claimant(s): Betty Barnes, Margaret Barbaro, Nancy Cunning, Susan Walls, The Harold R. Cunning, Jr. Trust
Claimant Lawyers(s): Vince Walls
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack A. Helms, Martin Salzman, James E Moon
Hearing Site: Tampa, FL
| | Expungement |
| 16-02133 | 05/10/2018 | Claimant(s): Josue Delucca Colon, Sandra Velilla Ortiz
Claimant Lawyers(s): Eric Norstedt
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Katelyn H. Wilson, Roberto Quinones-Rivera
Arbitrator(s): Sherry R. Wetsch, Jane C. Carney, Jack A. Helms
Hearing Site: San Juan, PR
| | Expungement |
| 15-00100 | 10/26/2017 | Claimant(s): James Springer
Claimant Lawyers(s): Jarrod J. Malone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Richard S. Zaifert, Patrick D. King, Jack A. Helms
Hearing Site: Tampa, FL
| | |
| 16-00384 | 12/02/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patricia E. Cowart
Respondent(s): Emmanuel Tsesmelis
Respondent Lawyers(s): Emmanuel James Tsesmelis
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | |
