| 19-03523 | 11/02/2020 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc.
Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Arbitrator(s): Richard H. Potter
Hearing Site: Charlotte, NC
| | |
| 18-01674 | 10/27/2020 | Claimant(s): Julio Julia, Yvonne Battistini
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Popular Securities.
Respondent Lawyers(s): Alan M. Wolper, Keith Olin
Arbitrator(s): Monica I. Salis, Langfred W. White, Susan Ruth Levin
Hearing Site: San Juan, PR
|  | $0 |
| 18-01204 | 08/19/2020 | Claimant(s): Catherine C Meiresonne IRA, Michael L Meiresonne IRA, Industrial Quick Search DBP
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Regal Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Matthew W. Schlegel, Gerald W. Hepp, Sandra Franklin
Hearing Site: Detroit, MI
| | $0 |
| 17-01926 | 06/19/2020 | Claimant(s): Conchita Blondet, Lillian Blondet, Ricardo Blondet, Estate (Sucesion) of Juan H. Blondet
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Bernard A. Becker, Richard R. Logsdon, Kimberly A. Gilmour
Hearing Site: San Juan, PR
| | Settlement |
| 19-00804 | 05/15/2020 | Claimant(s): Sheryl Starr, Helen Schlesinger Trust
Claimant Lawyers(s): Jason Albin
Respondent(s): Charles Botchway, Paul McIntyre, Robert Fehrman, MSC - BD
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Michael H DuBoff, Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | $0 |
| 17-01744 | 08/01/2019 | Claimant(s): Eduardo Jimenez Emanuelli
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Andrea U. Calve, Louis David Huss, Israel O. Alicea-Luciano
Hearing Site: San Juan, PR
| | Expungement |
| 15-02445 | 10/24/2018 | Claimant(s): Manuel Diaz
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Karl A. Vogeler, A.J. Seier, Clarence B. Johnson
Hearing Site: San Juan, PR
| | $0 |
| 16-00629 | 10/18/2018 | Claimant(s): Antonio Gnocchi Franco, Gnocchi Franco Law Offices PSC, Antonio Gnocchi Ret Plan
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Richard S. Zaifert, Julius P. Terrell, Sydney E. Blum
Hearing Site: San Juan, PR
| | $173,537 |
| 17-01330 | 05/17/2018 | Claimant(s): Vasileios Sfyris
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Robert H. Putnam, Michael J. Stern, Shawn Barr
Hearing Site: Atlanta, GA
| | |
| 17-01331 | 05/04/2018 | Claimant(s): William Hawk
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Michael J. Stern, John F. Allgood, David Frank Walbert
Hearing Site: Atlanta, GA
| | |
