| 18-03640 | 12/20/2022 | Claimant(s): Felipe Benedit Bueno, Janette Lindenmann, Benedit Holdings Co.
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Popular Securities.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Andrea U. Calve, G. Dennis Sheehan, Victor Calderon
Hearing Site: San Juan, PR
|  | Expungement |
| 21-01768 | 08/25/2022 | Claimant(s): Tricia Wilson
Claimant Lawyers(s): Lars Soreide
Respondent(s): Clarissa Beltran, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James Wallace Boeckman, G. Dennis Sheehan, James Douglas Gaughan
Hearing Site: Houston, TX
| | Expungement |
| 19-02550 | 09/15/2021 | Claimant(s): Harriet Ferber 2012 Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Samuel Olutola Akeju, G. Dennis Sheehan, William James Smith
Hearing Site: Houston, TX
| | $358,131 |
| 20-00437 | 01/25/2021 | Claimant(s): Kyle Sadler
Claimant Lawyers(s): Kyle Andrew Sadler
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Oren L. Connaway, Danielle L. Hargrove, G. Dennis Sheehan
Hearing Site: Houston, TX
| | |
| 18-04203 | 06/04/2020 | Claimant(s): Rick McKinney, RDRJ
Claimant Lawyers(s): Joseph H. Bocock
Respondent(s): National Securities Corporation, Stuart Updegrove
Respondent Lawyers(s): Fred Knopf
Arbitrator(s): James A. Parker, Stephen James Cavanaugh, G. Dennis Sheehan
Hearing Site: Houston, TX
| | $0 |
| 14-03770 | 03/30/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): David Lavine
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): James A. Parker, Ann Bradford Ligums, G. Dennis Sheehan
Hearing Site: Houston, TX
| | |
