| 14-00610 | 10/02/2015 | Claimant(s): Glissette Colon, Raul Aranguren Riesgo
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): Andres Lewowicz, Juan Herrans, Merrill Lynch Pierce Fenner & Smith Inc., Richard Reiss
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Elena G. Rodriguez, Jonathan H. Parker, Reinaldo Royo
Hearing Site: San Juan, PR
|  | Expungement |
| 14-00054 | 10/22/2014 | Claimant(s): James Watt, as Pres of Paget Two Limited, as Pres of Westbury Limited
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Steven N. Ainbinder, Jonathan H. Parker, Howard L. Conklin
Hearing Site: Miami, FL
| | Expungement |
| 11-04237 | 10/13/2014 | Claimant(s): James Mahan
Claimant Lawyers(s): Sean C. Domnick
Respondent(s): Banc of America Investment Services, Bank of America, N.A.
Respondent Lawyers(s): Gregory J Trask, Peter W. Homer
Arbitrator(s): Jonathan H. Parker, Jeffrey R. Roth, Shobha Bangalore Nagaprasanna
Hearing Site: Miami, FL
| | $0 |
| 12-04159 | 05/01/2014 | Claimant(s): Ralph Bixler
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Catherine Santiago, Wells Fargo Advisors, Margarita Figueroa
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Barry David Thorpe
Hearing Site: San Juan, PR
| | Expungement |
| 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 |
| 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 |
| 11-00460 | 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 |
| 10-04227 | 11/23/2011 | Claimant(s): Robert Zveibil, Illuminated Solutions.
Claimant Lawyers(s): David M. Shenkman
Respondent(s): Banc of America Investment Services
Respondent Lawyers(s): Martin B. Woods
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Jonathan H. Parker
Hearing Site: Miami, FL
| | $0 |
| 09-05922 | 12/06/2010 | Claimant(s): Alicia Cofresi-Vila
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Miguel Suau, Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $0 |
| 08-00632 | 07/27/2010 | Claimant(s): Elizabeth Richert
Claimant Lawyers(s): Elizabeth K. Richert
Respondent(s): Timothy Ruggiero, Brookshire Securities Corporation
Respondent Lawyers(s): Ken Pollock
Arbitrator(s): Jonathan H. Parker, Lawrence S. Silver, Jeffrey R. Roth
Hearing Site: Miami, FL
| | $17,500 |
