| 19-03718 | 09/03/2020 | Claimant(s): Gonzalo Castano
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 20-00938 | 09/03/2020 | Claimant(s): Jeffrey Petrone
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): MMC Securities LLC
Respondent Lawyers(s): Francesca M. Lanpher
Arbitrator(s): Christopher J. Klein
Hearing Site: Boca Raton, FL
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| 19-03716 | 09/01/2020 | Claimant(s): Miguel Carrillo
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 19-03715 | 08/05/2020 | Claimant(s): Gonzalo Castano, Miguel Carrillo
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 19-01592 | 07/29/2020 | Claimant(s): Brian Btesh
Claimant Lawyers(s): Frances Menzer
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): James M. Scutti
Hearing Site: Boca Raton, FL
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| 20-00446 | 07/23/2020 | Claimant(s): Michael Kelleher, Peter Caruso
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Carl Shechter, Robert G. Falbisaner, Robert John Harvey
Hearing Site: Boca Raton, FL
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| 19-03717 | 07/22/2020 | Claimant(s): Gonzalo Castano
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebbish
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
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| 19-02735 | 06/30/2020 | Claimant(s): Aaron Sevigny
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): United Planners' Financial Services of A
Respondent Lawyers(s): David B. Hauer
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 19-03364 | 06/29/2020 | Claimant(s): Craig Goldstone
Claimant Lawyers(s): Craig Mitchell Goldstone
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Bernard S. Carrey, Kimberly A. Gilmour, Michael D Felton
Hearing Site: Boca Raton, FL
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| 20-00245 | 06/17/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A Perez
Respondent(s): Alex Herrera
Respondent Lawyers(s): Alex Gerardo Herrera
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Boca Raton, FL
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