| 19-01576 | 02/19/2020 | Claimant(s): Dianne Townsend
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 19-00730 | 11/13/2019 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 19-01213 | 10/18/2019 | Claimant(s): Roberto De Desus Pou
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 19-00479 | 10/16/2019 | Claimant(s): Stephen Sullivan
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 19-01062 | 09/25/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Nicholas Giambri
Respondent Lawyers(s): Nicholas Anthony Giambri
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 18-03001 | 04/17/2019 | Claimant(s): David Rojas
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Isabel Torres-Sastre
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 17-03473 | 08/06/2018 | Claimant(s): Clara Fernandez Colorado
Claimant Lawyers(s): Pedro Hernandez Freire
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Sonia Marbarak
Arbitrator(s): Seth L. Finkel, Roberto Olson Cortes, Ricardo Aponte-Parsi
Hearing Site: San Juan, PR
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| 15-01887 | 02/18/2016 | Claimant(s): Ioana Cioc
Claimant Lawyers(s): Mark David Hunter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Bury
Arbitrator(s): Steven N. Ainbinder, Seth L. Finkel, Kathy N. Novick
Hearing Site: Miami, FL
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| 14-03227 | 11/05/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Kenneth Ray Noble
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
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| 14-00668 | 03/18/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Patrick Mcgrath
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
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