| 19-01588 | 12/01/2021 | Claimant(s): Lisa Wavro
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley, Kevin Welsh
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Robert H. Putnam, Mauricio Arcadier, William Finley Hamel
Hearing Site: Columbia, SC
|  | Expungement |
| 19-00960 | 11/18/2021 | Claimant(s): John Shubert
Claimant Lawyers(s): Thomas C. Allison
Respondent(s): Cbiz Financial Solutions.
Respondent Lawyers(s): Michaael J. Charlillo
Arbitrator(s): Mauricio Arcadier, Glenn W. Wheelock, Mitchel Weiss
Hearing Site: Orlando, FL
| | |
| 20-01456 | 05/10/2021 | Claimant(s): Leonard Bejger
Claimant Lawyers(s): Leonard James Bejger
Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
| | $300 |
| 20-00196 | 08/18/2020 | Claimant(s): Dale Cebert
Claimant Lawyers(s): Harris Freedman
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
| | |
| 18-03763 | 01/09/2020 | Claimant(s): Lauren Flynn
Claimant Lawyers(s): Lauren Terri Flynn
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Steven Mellen
Arbitrator(s): Ian S. Greig, James A. Hayes, Mauricio Arcadier
Hearing Site: Columbia, SC
| | Dismissed by Rule 12212(c) |
| 16-02528 | 05/20/2019 | Claimant(s): Carmen Macias, Pedro Diez, Pedro Diez Macias, Vissepo & Diez Construction Corp., Diez Macias 1 Trust, Pefedima Trust
Claimant Lawyers(s): Jeffrey Erez, Lloyd R. Schewd
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Roger C. Benson, Mauricio Arcadier, Robert Stewart Barney
Hearing Site: San Juan, PR
| | $7,839,130 |
| 18-00651 | 05/07/2019 | Claimant(s): Aubrey Sanford, Beth Rowlett, Chasidy Lenoir, Christy Camp, Clifford Camp, Earl Davis, Edward Simmons, Emma Smith, F. Fowler, Howard Kerce, Janet Davis, Janice Jeffrey, Kathryn Rheiner, Kent Kebert, Lynn Kebert, Mark Friloux, Maynard Bryant, Michael Borne, Richard Rheiner, Robert Spring, et al
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Langfred W. White, Mauricio Arcadier, Avery B. Goodman
Hearing Site: Jackson, MS
| | $1,430,750 |
| 18-00521 | 11/01/2018 | Claimant(s): Lauren Oschman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Steven Cervantes
Arbitrator(s): Mauricio Arcadier
Hearing Site: Nashville, TN
| | |
| 15-01596 | 09/28/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Amilka Delgado
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): John P. Cullem, Mauricio Arcadier, Margaret R. Hoyt
Hearing Site: Orlando, FL
| | |
| 16-01981 | 08/21/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Alex G. Cavanaugh
Respondent(s): Samuel Reeves
Respondent Lawyers(s): Michael A. Nardella
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
| | |
