| 23-00826 | 01/18/2024 | Claimant(s): Michael McGee
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Investment Professionals.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert J. Gregory, Robert Sullivan Tyler, Terry Lynn Buffalo
Hearing Site: Little Rock, AR
| | |
| 16-02549 | 02/12/2021 | Claimant(s): Guillermo Lopez Perez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): OFS Securities., Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): John G. Sciandra, Robert Sullivan Tyler, Erika Deutsch Rotbart
Hearing Site: San Juan, PR
|  | $240,000 |
| 16-02280 | 12/26/2017 | Claimant(s): Alfonso Barrera, Ana Barrera, Laura Barrera, Marisa Barrera, Veronica Barrera, West Houston 2 Defined Benefit Plan, West Houston Plastic Surgery Defined
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Daniel Kersten, Edith Schoenberger, Eugene Schoenberger, UBS Financial Services Inc., Stephanie Kersten
Respondent Lawyers(s): Alise J. Henry, Lars K. Soreide
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Robert Sullivan Tyler
Hearing Site: Houston, TX
| | Expungement |
