| 24-00271 | 07/26/2024 | Claimant(s): Douglas Kleckner
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Monmouth Capital Management LLC
Respondent Lawyers(s): Robert Meyer, CEO
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
|  | $483,427 |
| 14-01998 | 11/20/2017 | Claimant(s): James Farrant
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Candida Bobonis Roig, Dario Ochoa, Franco Fullana, Santander Securities LLC
Respondent Lawyers(s): Matthew E. Wolper, Sara Lydia Velez-Santiago
Arbitrator(s): James W. Geiger, Marc T. Danon, Ronald Charles Waters
Hearing Site: San Juan, PR
| | Expungement |
| 16-01719 | 08/17/2017 | Claimant(s): Angeles Gonzalez, Eduardo Molinari, EMAS S.E., EMCO Construction, Eduardo Molinari & Associates, WARG, INC.
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Matthew E. Wolper
Arbitrator(s): James Edward Seale, Donald Ervin Cope, Bernard Travis Holmes
Hearing Site: San Juan, PR
| | Expungement |
| 15-02661 | 06/26/2017 | Claimant(s): Madeleine Carrero, Ulises Barros Carrero, Fideicomiso Ulises Barros
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Matthew E. Wolper
Arbitrator(s): Gerald Silverman, Joseph Benalt, Paul J. Burkhart
Hearing Site: Miami, FL
| | $793,680 |
| 15-03338 | 02/15/2017 | Claimant(s): Thurman Willis
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Daniel E. Gulden, Samuel Appel, Brock Bingham Gordon
Hearing Site: Atlanta, GA
| | $0 |
| 16-01301 | 12/27/2016 | Claimant(s): James Stewart, James C. Stewart IRA, F. Stewart Rev Liv Trust U/A/D/ 01/23/91, James C. Stewart Trust U/A/D/ 09/22/86
Claimant Lawyers(s): D. Daxton White
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Muriel Desloovere, Jacquelyn M. Shannon, Joseph John Mantione
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 13-03262 | 03/17/2016 | Claimant(s): Manuel Batlle, Cabat Company
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Randy R. Freedman, Robert G. Falbisaner, Alberto G. Estrella
Hearing Site: San Juan, PR
| | Stipulated Award and Expungement |
| 13-03690 | 07/30/2015 | Claimant(s): Maria Lopez-Almaguer
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Raymond C. Kerr, Allen M. Kerpan, Richard Merritt Langway
Hearing Site: San Juan, PR
| | Expungement |
| 11-03614 | 08/08/2013 | Claimant(s): The Estate of James M. Grisebaum
Claimant Lawyers(s): Eric Lipper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Thomas A. Martin, Juanita D. McKethan, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 11-02396 | 05/02/2013 | Claimant(s): Kenneth Nelson, Kris Nelson, Carol W. Nelson, Carol W. Nelson Trust, Kenneth A. Nelson Irrevocable Insurance, Kenneth A. Nelson Revocable Trust
Claimant Lawyers(s): Daniel H. Charest
Respondent(s): Jason Stephens, UBS Financial Services Inc., The Stephens Wealth Management Group
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Barry David Thorpe, Philip L. Manczak, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
