| 17-02762 | 05/24/2018 | Claimant(s): John Macielag
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 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 |
| 15-02330 | 03/28/2018 | Claimant(s): Ana Cadilla, Fideicomiso Arturo J. Cadilla
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Bernard A. Becker, Jane C. Carney, Marta A. Rivera Figueroa
Hearing Site: San Juan, PR
| | $250,000 |
| 17-01845 | 02/21/2018 | Claimant(s): Nilos Sakellariou
Claimant Lawyers(s): David A. Gehn
Respondent(s): Gary Moody, Glen Eagle Wealth
Respondent Lawyers(s): Andrew DeLucia
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 16-00666 | 01/09/2017 | Claimant(s): Cynthia Strini
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Labron Toles, Philip Dina, Silva Velez
Respondent Lawyers(s): Labron Manosa Toles, Philip A. Dina, Silva Alexander Velez
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $24,574 |
| 14-00233 | 05/20/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Robert L Herskovits
Respondent(s): Peter Foote
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): Karen V. Cunningham, Jane C. Carney, Sandra Holmes
Hearing Site: Baltimore, MD
| | |
| 14-01042 | 10/16/2014 | Claimant(s): Dawn Bennett
Claimant Lawyers(s): David E. Robbins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gretchen L. Klebasko
Arbitrator(s): Henry G. Plaster, Susan A. Mathews, Jane C. Carney
Hearing Site: Washington, DC
| | |
| 13-03041 | 08/08/2014 | Claimant(s): Robert E and Susan Bowers
Claimant Lawyers(s): Robert Bowers
Respondent(s): Scott Eglseder, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $4,632 |
| 13-02426 | 05/14/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Donna Tucker
Respondent Lawyers(s): James P. Cargill
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
| | |
| 12-03523 | 05/09/2014 | Claimant(s): Sean Horrigan
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
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