| 23-03642 | 06/25/2024 | Claimant(s): Drew Freides
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Stuart Sinai, Mary C. Davis, Peter A.P. Dunlop
Hearing Site: Los Angeles, CA
| | |
| 22-00516 | 10/17/2022 | Claimant(s): David Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John P. Cullem, Stuart Sinai, Philip L. Manczak
Hearing Site: Tampa, FL
| | |
| 15-02646 | 08/04/2021 | Claimant(s): Lizmarie Esparza, JL Esparza., Jose Esparza & Egdalis Blanco De Esparza
Claimant Lawyers(s): Luis E. Minana, Luis Elvin Gonzalez
Respondent(s): Oriental Financial Services
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Stuart Sinai, David Edward Upton, Richard Francis Kane
Hearing Site: San Juan, PR
|  | $700,000 |
| 15-02220 | 04/03/2017 | Claimant(s): Carolee McCardle, Dale Stake, Donald McCardle, Jeffrey Roberts, Larry Gigax, Michael Ryan, Pamela Stichion, Ronald Stichion, Shelby Roberts, 912 Holdings
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Roger W. Van Deusen, Stuart Sinai, Benjamin E. Fisher
Hearing Site: Tampa, FL
| | $668,675 |
| 15-01472 | 07/22/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Gregory Rothery
Respondent Lawyers(s): Scott Matasar
Arbitrator(s): Stuart Sinai, Mimi B. Osiason, Kenneth M. Jackson
Hearing Site: Nashville, TN
| | |
| 15-01525 | 05/23/2016 | Claimant(s): Toya Williams
Claimant Lawyers(s): Toya Elaine Williams
Respondent(s): Charles Winfrey
Respondent Lawyers(s): John A. Beam
Arbitrator(s): Stuart Sinai
Hearing Site: Memphis, TN
| | Dismissed by Rule 12206 |
| 11-02606 | 06/03/2014 | Claimant(s): Lee Benz
Claimant Lawyers(s): Richard Sacks
Respondent(s): Glen Darmos, Shelley Davenport, Berthel, Fisher & Company Financial
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Larry C. Kreul, Stuart Sinai, William M. Azkoul
Hearing Site: Detroit, MI
| | $300,000 |
| 10-05247 | 06/02/2014 | Claimant(s): Thomas Campbell
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): J.W. Cole Financial.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Robert J. Scafuri, Stuart Sinai, Mauricio Kohn
Hearing Site: Detroit, MI
| | |
| 11-03013 | 11/11/2013 | Claimant(s): Auto City Clark., Auto City Service, Fowlerville Exit Shell Service.
Claimant Lawyers(s): Tom Caldwell
Respondent(s): David Maksymetz, J.P. Morgan Securities, John Bueno, Nicole Moten
Respondent Lawyers(s): Adam D. Grant
Arbitrator(s): Stuart Sinai, Patrick R. Sughroue, Stephen D Kursman
Hearing Site: Detroit, MI
| | $1,972,300 |
| 11-03798 | 05/01/2012 | Claimant(s): W. Mayhue
Claimant Lawyers(s): W. Paul Mayhue
Respondent(s): Pershing Advisor Solutions LLC
Respondent Lawyers(s): Jane L. Myers
Arbitrator(s): Stuart Sinai
Hearing Site: Detroit, MI
| | $0 |
