| 12-01223 | 02/03/2014 | Claimant(s): Sylviano Lopez Rivera
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, Louis David Huss
Hearing Site: San Juan, PR
|  | Expungement |
| 12-03042 | 01/30/2014 | Claimant(s): Joaquin Monserrate-Matienzo, Roxana Matienzo-Carrion
Claimant Lawyers(s): David R. Chase
Respondent(s): Popular Securities.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven Gerard Goerke, Michael Lau, Raymond W. Snow
Hearing Site: San Juan, PR
| | $0 |
| 11-02104 | 10/08/2013 | Claimant(s): Laylianny and Juan Daniel Otero-Ortiz Tr
Claimant Lawyers(s): Alfredo Castellanos
Respondent(s): Nilsa Ortiz-Alvarado, PFS Investments Inc.
Respondent Lawyers(s): Alfredo Castellanos, Brett A. Rogers
Arbitrator(s): Bernard A. Becker, S. William Gersten, Richard J. Kaplan
Hearing Site: San Juan, PR
| | $0 |
| 11-04423 | 09/26/2013 | Claimant(s): Aurea Pou
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Nannette Berrios-Haddock, Roberto C. Quinones-Rivera
Arbitrator(s): Bernard A. Becker, Jerrold Levine, Louis David Huss
Hearing Site: San Juan, PR
| | Expungement |
| 11-04271 | 09/23/2013 | Claimant(s): Felix Bernard-Diaz, Julian Rodriguez, Luz Rodriquez
Claimant Lawyers(s): Luz Ivette Rivera
Respondent(s): Jorge Bravo, Rafael Colonascar, Sonia Marbarak, BBVA Securities Of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks, Jose A. Sosa Llorens
Arbitrator(s): Gustavus L. Pearthree, Nicholas John Taldone, Stuart K. Furman
Hearing Site: San Juan, PR
| | $1,212,500 |
| 11-04724 | 09/17/2013 | Claimant(s): Flor Reyes Del Valle
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorp. of PR.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, Rodolfo C. Angulo
Hearing Site: San Juan, PR
| | Expungement |
| 12-00725 | 09/06/2013 | Claimant(s): Genaro Mojica Negron, Luz Avila Jimenez
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Roberto Rivera Vazquez, Popular Securities.
Respondent Lawyers(s): Nestor M. Mendez, Sara L. Velez-Santiago
Arbitrator(s): Steven M. Greenbaum, Seth L. Finkel, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $0 |
| 12-01316 | 09/06/2013 | Claimant(s): Lilliane Ferrer
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Bernard A. Becker, Barth Satuloff, Jonathan H. Parker
Hearing Site: San Juan, PR
| | $0 |
| 12-01390 | 09/05/2013 | Claimant(s): Elliott Adorno
Claimant Lawyers(s): Pedro J. Espinal
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Steven N. Ainbinder, Todd M. Saunders, Fredrick T.W. Reed
Hearing Site: San Juan, PR
| | Expungement |
| 11-01173 | 08/15/2013 | Claimant(s): Ramon Puig Rodriguez and Evelyn Carrion
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Charles Hoffman
Hearing Site: San Juan, PR
| | Expungement |
