| 14-02763 | 12/15/2016 | Claimant(s): Patricia Flock, Shmily Trust U/A dtd 10/04/2000
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Howard, Donald Dreyfus, Kenneth L. Mann
Hearing Site: Phoenix, AZ
|  | Expungement |
| 14-02984 | 10/17/2016 | Claimant(s): Jean Kulsrud
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Lavon C. Phillips, Phyllis Karasov, Frank Abramson
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-03246 | 10/11/2016 | Claimant(s): Emil Soltis
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Theresa R. Joyner, Morton S. Bunis, Ariel Berschadsky
Hearing Site: Newark, NJ
| | Expungement |
| 14-02430 | 09/06/2016 | Claimant(s): Michael Consolo
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael Nathanson, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 13-02333 | 06/28/2016 | Claimant(s): Cheney Ranch, Singing Sage, Andrew Den Hoed, Sr. and Marie Den Hoed
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Joseph Gazes, Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Ira G. Rosenstein, Timothy P. Burke
Arbitrator(s): Stephany Adriene Watson, Linda I. Thomas, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | Expungement |
| 14-01256 | 05/23/2016 | Claimant(s): Asociacion de Empleados Del Estado Libre
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto Quinones
Arbitrator(s): Gerald Silverman, Clement Osimetha, Sydney E. Blum
Hearing Site: San Juan, PR
| | $0 |
| 14-00199 | 01/06/2016 | Claimant(s): Kenneth Lee
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets., Hsyu-Chieng Chiou
Respondent Lawyers(s): Brian J. Ellis, Steven D. Toskes
Arbitrator(s): Perry Lee Taylor, Barbara Black, Helen E. Huyler
Hearing Site: Atlanta, GA
| | $2,250,000 |
| 13-02838 | 12/17/2015 | Claimant(s): George Shelton
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | Expungement |
| 14-01158 | 11/24/2015 | Claimant(s): Gary Adams
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): Lita S Menkin, William Barker Brown, J. G. Long
Hearing Site: Atlanta, GA
| | Expungement |
