| 14-01851 | 11/14/2016 | Claimant(s): Jose Biaggi Junquera, Josefina Landron
Claimant Lawyers(s): Francisco Pujol, Frank A. Dalmau
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Robert J. Morris, Earle J. Schwarz, Robert Finder
Hearing Site: San Juan, PR
|  | Expungement |
| 14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg
Hearing Site: San Juan, PR
| | Expungement |
| 11-04194 | 01/27/2015 | Claimant(s): The Geiersbach Family Trust
Claimant Lawyers(s): Kyla V. Alexander
Respondent(s): Doreen Scott, Ameriprise Financial Services.
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Charles R. Tindell, Gail E. Sasnett-Stauffer, Robert Finder
Hearing Site: Jacksonville, FL
| | $0 |
| 12-00346 | 02/13/2013 | Claimant(s): Daisha LaMontague as Tr. to Elenor Nagel
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Cindy L. Anderson, Pamela Jeanne Rush, Robert Finder
Hearing Site: Jacksonville, FL
| | $0 |
| 11-01672 | 01/22/2013 | Claimant(s): James Greenshields
Claimant Lawyers(s): James Greenshields
Respondent(s): James Klefeker, TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert Finder, Ralph Kennedy Frasier, Angelo J. Infantino
Hearing Site: Jacksonville, FL
| | $0 |
| 10-01051 | 07/07/2011 | Claimant(s): James D. Adkins, Stephanie L. Adkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Wells Fargo Advisors, Ernest Watson, Jeff Tucker
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Warren A. Forest, Robert Finder, A.J. Seier
Hearing Site: Orlando, FL
| | $217,928 |
| 08-03655 | 06/04/2009 | Claimant(s): Richard and Margaret Wassel
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley & Co., Mary Meeker
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Raphael M. Kelly, Robert Finder, Floyd Edward Roberts
Hearing Site: Orlando, FL
| | $0 |
| 07-00998 | 10/06/2008 | Claimant(s): Ed L.Gueth Sr. and Sandy L. Gueth
Claimant Lawyers(s): Ed L. Gueth
Respondent(s): Ameriprise Financial Services., Joan Coke
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Robert Finder
Hearing Site: Orlando, FL
| | $0 |
