| 12-01192 | 08/06/2013 | Claimant(s): Emilio Calques, Maritza Zaiter, Pedro Calques, Pedro Latorre, Pedro Zaiter, Kury Manufacturing Co..
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Nancy J. Cliff, Daniel P. Lund, Louis David Huss
Hearing Site: San Juan, PR
|  | $1,921,000 |
| 13-00038 | 07/05/2013 | Claimant(s): Fred Wang
Claimant Lawyers(s): Fred Simcha Wang
Respondent(s): UBS Fund Services (USA) LLC
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Christopher J. Klein
Hearing Site: San Juan, PR
| | Dismissed by Rule 12504 |
| 11-02677 | 04/30/2013 | Claimant(s): Purnima Shah
Claimant Lawyers(s): W. Barry Blum
Respondent(s): BBVA Securities Of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Mark C. Perry, Nancy J. Cliff, Abigail Falcon-Rosa
Hearing Site: San Juan, PR
| | $212,705 |
| 12-00225 | 04/01/2013 | Claimant(s): Victor Alvarez-Mauras
Claimant Lawyers(s): Paul Vilaro Nelms
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan Wolper
Arbitrator(s): Roy B. Gonas, Bernard A. Becker, Daniel P. Lund
Hearing Site: San Juan, PR
| | $0 |
| 11-02694 | 03/22/2013 | Claimant(s): Jose Ruiz Soto
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., of PR
Respondent Lawyers(s): Robert C. Quinones-Rivera
Arbitrator(s): Steven R. Reininger, Martin A. Feigenbaum, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | Expungement |
| 11-01716 | 02/27/2013 | Claimant(s): Maria Berrios
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., Oriental Financial Services Corp., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Alfredo Fernandez Martinez, Nanette Berrios-Haddock, Robert C. Quinones
Arbitrator(s): Martin A. Feigenbaum, Jerrold Levine, Michael E. Pearson
Hearing Site: San Juan, PR
| | Expungement |
| 11-00460 | 02/11/2013 | Claimant(s): Antonio Mendez
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Christian Rickenbach, Vanessa Perez, Popular Securities.
Respondent Lawyers(s): Heidi Rodriguez-Benitez
Arbitrator(s): Monroe Mitchel, Elena G. Rodriguez, Jonathan H. Parker
Hearing Site: San Juan, PR
| | Expungement |
| 10-05365 | 01/28/2013 | Claimant(s): Lueny Bobadilla, Waldemar Ramirez
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Santander Securities
Respondent Lawyers(s): Richard L. Martens, Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Charles Hoffman
Hearing Site: San Juan, PR
| | Expungement |
| 12-02177 | 12/26/2012 | Claimant(s): Luis Felipe
Claimant Lawyers(s): Luis M Felipe
Respondent(s): Citi International Financial Services
Respondent Lawyers(s): Jonathan Cohen
Arbitrator(s): Barth Satuloff, Elena G. Rodriguez, Richard K. Hrebik
Hearing Site: San Juan, PR
| | $0 |
| 11-03504 | 12/21/2012 | Claimant(s): Awilda Vilches Reyes
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Fred Abramoff
Hearing Site: San Juan, PR
| | Expungement |
