| 12-01687 | 01/24/2013 | Claimant(s): Popular Securities.
Claimant Lawyers(s): Eyck O. Lugo-Rivera
Respondent(s): Alberto Perez Pujals
Respondent Lawyers(s): Alberto J. Perez Pujals
Arbitrator(s): Mark C. Perry
Hearing Site: San Juan, PR
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| 11-02296 | 09/07/2012 | Claimant(s): Popular Securities.
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): Francisco De Torres Highley
Respondent Lawyers(s): Harold D. Vincente-Colon
Arbitrator(s): Steven Gerard Goerke, Michael E. Pearson, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
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| 11-02033 | 08/30/2012 | Claimant(s): Jeannette Rosales
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Santander Securities
Respondent Lawyers(s): Massiel Bermudez Rios
Arbitrator(s): Steven Gerard Goerke, David P. Slater, Daniel P. Lund
Hearing Site: San Juan, PR
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| 11-02520 | 07/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Gustavo Mattei
Respondent Lawyers(s): Francisco Pujol
Arbitrator(s): Steven Gerard Goerke, Christopher J. Klein, Thomas R. Noonan
Hearing Site: San Juan, PR
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| 11-04435 | 06/29/2012 | Claimant(s): BBVA Securities Of Puerto Rico.
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Dennis Cummings
Respondent Lawyers(s): Carlos E. Bayron
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 11-01520 | 06/15/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Gustavo Del Valle
Respondent Lawyers(s): Harold D. Vicente-Colon
Arbitrator(s): Reinaldo Royo, Kathryn M. Welsh, Jeffrey R. Roth
Hearing Site: San Juan, PR
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| 09-01814 | 05/21/2012 | Claimant(s): Enrique Pascual
Claimant Lawyers(s): Jose Antonio Pagan
Respondent(s): Santander Securities Corp of PR
Respondent Lawyers(s): Heidi L. Rodriguez Benitez
Arbitrator(s): Monroe Mitchel, Francisco E. San Miguel, Rex D.K. Seymour
Hearing Site: San Juan, PR
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| 11-01196 | 09/14/2011 | Claimant(s): UBS Financial Services Inc., UBS Financial Services Inc of Puerto Ric
Claimant Lawyers(s): Eileen O'Connell Arcuri, Megan A. Smith
Respondent(s): Carmen Sanchez
Respondent Lawyers(s): Carmen Sanchez
Arbitrator(s): Monroe Mitchel
Hearing Site: San Juan, PR
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| 09-05587 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Angel Aquino
Respondent Lawyers(s): Roberto Boneta
Arbitrator(s): Mark C. Perry, Ilisa J. Smukler, Neil J. Berman
Hearing Site: San Juan, PR
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| 10-00222 | 02/15/2011 | Claimant(s): Samuel A Ramirez & Co..
Claimant Lawyers(s): Carlos Jose Onetti-Irizarry
Respondent(s): Jean Hernandez
Respondent Lawyers(s): Gloria I. Velazquez Villares
Arbitrator(s): Elena G. Rodriguez, Rex D.K. Seymour, Armando E. Ramirez Vivoni
Hearing Site: San Juan, PR
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