| 10-02350 | 06/08/2012 | Claimant(s): Ida Rodriguez, Jose Colon
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Alberto Castaner, Jorge Rodriguez, Kyrsis Marrero, Popular Securities.
Respondent Lawyers(s): Heidi Rodriguez-Benitz
Arbitrator(s): Mark C. Perry
Hearing Site: San Juan, PR
|  | $0 |
| 10-01444 | 04/02/2012 | Claimant(s): Luis Espinosa, Maritza Garcia, Luit Ortiz Espinosa Pension Plan
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Rafael Rodriguez-Abella, BBVA Securities of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Mark C. Perry, Thomas Czinner, Neil J. Berman
Hearing Site: San Juan, PR
| | $0 |
| 10-05324 | 02/03/2012 | Claimant(s): Ana Rosa Garcia, Luis Rosario Serrano
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maritere Colon-Dominguez
Arbitrator(s): Mark C. Perry, Elena G. Rodriguez, Daniel P. Lund
Hearing Site: San Juan, PR
| | Expungement |
| 10-01541 | 08/09/2011 | Claimant(s): Thomas Mulvey and Diane Mulvey
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark C. Perry, Howard Bernstein, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05210 | 02/11/2011 | Claimant(s): Patricia Schluter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Carlos Gonzalez, Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Mark C. Perry, David Gerber, Ronald Kenneth Summers
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-05050 | 12/20/2010 | Claimant(s): Jeffrey Penner, Phyllis Penner
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Mark C. Perry, James W. Geiger, Mary H. Cory
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02536 | 12/23/2009 | Claimant(s): FOLIOfn Investments.
Claimant Lawyers(s): Jorge A. Herrera
Respondent(s): Barouch Anteby, Grace Anteby, Ralph Anteby
Respondent Lawyers(s): Barouch Anteby, Grace Anteby, Ralph Anteby
Arbitrator(s): Mark C. Perry, Richard S. Zaifert, Martin V. Franks
Hearing Site: Ft. Lauderdale, FL
| | |
| 08-03651 | 05/28/2009 | Claimant(s): Joseph Gorman
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley & Co., Mary Meeker
Respondent Lawyers(s): Jason E. Fedo
Arbitrator(s): Mark C. Perry, George G. Kurschner, Bruce M. Alster
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
| 05-00757 | 03/19/2008 | Claimant(s): Jeffrey Kandel, The Billie Kandel Levine Trust #2
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Jed Kaplan, Kaplan & Co. Securities.
Respondent Lawyers(s): Stephen A. Mendelsohn
Arbitrator(s): Mark C. Perry, James D. McDonald, Burton Silverstein
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
