| 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 |
| 20-03192 | 11/24/2021 | Claimant(s): David Ruckno
Claimant Lawyers(s): Mark S. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
| | |
| 21-00479 | 11/10/2021 | Claimant(s): Sarah J. Basler and Donald Basler, TTEE
Claimant Lawyers(s): David B. Vermont
Respondent(s): Gerald Mars, Hemant Kathuria, Peter Schiff, William Mcbean, A.G.P. / Alliance Global Partners, Euro Pacific Capital.
Respondent Lawyers(s): Kurt T. Kalberer
Arbitrator(s): Stuart K. Furman, Kenneth R. Starr, Harvey R. Linder
Hearing Site: Columbia, SC
| | Expungement |
| 20-03198 | 09/30/2021 | Claimant(s): David Ruckno
Claimant Lawyers(s): Mark S. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
| | |
| 20-03197 | 07/19/2021 | Claimant(s): David Ruckno
Claimant Lawyers(s): Mark Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Harvey R. Linder
Hearing Site: Columbia, SC
| | |
| 20-02553 | 05/28/2021 | Claimant(s): Bertin Stuckart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Demian Betz
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
| | |
| 21-00722 | 05/28/2021 | Claimant(s): Brian Blackburn
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
| | |
| 19-03743 | 05/25/2021 | Claimant(s): Accurate Building Co. LLC
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Four Points Capital Partners LLC
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Robert H. Putnam, Patricia Ann Tracey, Denise Morris Hammond
Hearing Site: Columbia, SC
| | Expungement |
| 20-01930 | 04/13/2021 | Claimant(s): Ricky Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): ProEquities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | |
| 20-00301 | 04/02/2021 | Claimant(s): Kay LaMon
Claimant Lawyers(s): Jeff Goodwyn
Respondent(s): LPL Financial LLC, Richard Dearinger
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Stephen Earl Clark
Hearing Site: Columbia, SC
| | $0 |
