| 19-03427 | 07/21/2020 | Claimant(s): Howard Lashner
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): PFS Investments.
Respondent Lawyers(s): Adam M. Weaver
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 17-01930 | 04/07/2020 | Claimant(s): Michael Campbell, Dominick & Dickerman LLC
Claimant Lawyers(s): Edward James Little
Respondent(s): Gary Wunderlich, Wunderlich Securities.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Jill I. Gross, Joel B. Finard, A. Rene Hollyer
Hearing Site: New York, NY
| | |
| 17-02354 | 08/19/2019 | Claimant(s): Cynthia Blasini, Jose Blanco Garrido, Maria Blanco Alvarado, Jostoche Associates, S.E., Jose E. Blanco Blasini Trust
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Leslie Flores, Peter S. Fruin
Arbitrator(s): Cheryl E. Winton, Richard J. Kaplan, Karen J. Orlin
Hearing Site: San Juan, PR
|  | $4,420,380 |
| 18-02792 | 06/25/2019 | Claimant(s): Margaret Hixon
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Sa Stone Wealth Management Inc.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Nicholas John Taldone
Hearing Site: Tampa, FL
| | |
| 15-02666 | 04/16/2018 | Claimant(s): Mary Lee Darby Revocable Trust
Claimant Lawyers(s): Allisaon S. Ficken
Respondent(s): William Smith, Sterne Agee Financial Services.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Robert N. Leitch, Jay A Kaplan, Larry Kenneth Lott
Hearing Site: Atlanta, GA
| | Expungement |
| 16-03580 | 01/08/2018 | Claimant(s): William Jones
Claimant Lawyers(s): Edwin Glenn Waldrop
Respondent(s): David Searcy, Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin, Todd H. Cox
Arbitrator(s): Lawrence R. Maxwell, Matthew Reid Krell, Cynthianther May
Hearing Site: Birmingham, AL
| | $79,370 |
| 15-03136 | 04/19/2017 | Claimant(s): Edina Allen, Robert Allen, Edina C. Allen Revocable Trust, Robert C. Allen Revocable Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Morgan Keegan & Company, Raymond James Financial Services.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Louise B. Zeuli, Raymond E. Cornelius, Robert Francis Roland
Hearing Site: Orlando, FL
| | $0 |
| 15-03176 | 01/06/2017 | Claimant(s): Barbara Lattanze, Robert Lattanze
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Catherine Mewborn, Sterne Agee Financial Services.
Respondent Lawyers(s): J. Anthony Penry, Peter S. Fruin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Raleigh, NC
| | $6,593 |
| 14-02800 | 07/18/2016 | Claimant(s): Mauris Thompson
Claimant Lawyers(s): Yawanna McDonald
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Daniel T. Hull, Robert Gerald Boliek
Hearing Site: Birmingham, AL
| | Expungement |
| 12-01194 | 07/29/2014 | Claimant(s): Kira Flanzraich, Neil Flanzraich, FBO Neil Flanzraich Def Ben Pl Dtd1/1/95, U/A Dtd 11/15/2000 Kira Flanzraich TRT, U/A Dtd 11/15/2000 Neil Flanzraich TRT, U/A Dtd 11/15/2000 by Neil Flanzraich, U/A Dtd 11/28/2000 Neil Flanzraich IrTrt
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): John Westmoreland, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Peter S. Fruin
Arbitrator(s): Myron E. Levenson, Dennis J. Levin, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
