| 10-02503 | 01/30/2012 | Claimant(s): Leonor Garcia, Trust of Leonor Ochoa Garcia, Trust of Peter-Ochoa
Claimant Lawyers(s): Francis Pagan Martinez
Respondent(s): UBS Financial Services Inc., UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto C. Quinones
Arbitrator(s): Bernard A. Becker, Todd M. Saunders, Thomas R. Noonan
Hearing Site: San Juan, PR
|  | Expungement |
| 10-01317 | 11/09/2011 | Claimant(s): Jose G. Flores & Gladys Aponte
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Carlos Pou, Jeffrey Lopez, UBS Financial Services Inc., BBVA Securities Of Puerto Rico., UBS Financial Services Inc of PR
Respondent Lawyers(s): Anibal Lugo-Miranda, Debra A. Jenks, Roberto C. Quinones-Rivera
Arbitrator(s): Robert H. Hagan, Nancy J. Cliff, Todd M. Saunders
Hearing Site: San Juan, PR
| | Expungement |
| 10-02468 | 04/07/2011 | Claimant(s): Carmen Babin
Claimant Lawyers(s): Ralph Vallone
Respondent(s): UBS Financial Services Inc of PR
Respondent Lawyers(s): Ubaldo M. Fernandez-Barrera
Arbitrator(s): Elena G. Rodriguez, Todd M. Saunders, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | $17,875 |
| 09-05496 | 03/01/2011 | Claimant(s): IB Corp Investments and Business Group
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Norman L. Weiss, Robert A. Fabricant, Todd M. Saunders
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-06704 | 07/27/2010 | Claimant(s): Beja Finance International
Claimant Lawyers(s): Robert L. Schenk
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Mark D. Quinn, Todd M. Saunders, Barry David Thorpe
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 08-03051 | 05/14/2010 | Claimant(s): Desa Trading Co.
Claimant Lawyers(s): Mark D. Hunter
Respondent(s): Carlos Garcia, Advanced Trading Services
Respondent Lawyers(s): Carlos Manuel Garcia
Arbitrator(s): Todd M. Saunders, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | $125,000 |
