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FINRA Awards for Luis A. Rotger & Dolly M. De Argueso

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0122210/03/2014Claimant(s): Ana Pardo, Laura Rodriguez, Manuel Corzo, Rosa Perez Rodriguez, Sofia Perez Brennan, Jaime P. Brennan & Liduvina R. De Perez, Luis A. Rotger & Dolly M. De Argueso
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Jerrold Levine, Richard J. Kaplan
Hearing Site: San Juan, PR
Checkmark IconExpungement

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