| 12-03688 | 06/04/2015 | Claimant(s): Ortopedas Associados Del Oeste Retiremen
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Richard J. Kaplan, Rex D.K. Seymour
Hearing Site: San Juan, PR
|  | Expungement |
| 12-01222 | 10/03/2014 | Claimant(s): Ana Pardo, Laura Rodriguez, Manuel Corzo, Rosa Perez Rodriguez, Sofia Perez Brennan, Jaime P. Brennan & Liduvina R. De Perez, Luis A. Rotger & Dolly M. De Argueso
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Jerrold Levine, Richard J. Kaplan
Hearing Site: San Juan, PR
| | Expungement |
| 12-03600 | 08/13/2014 | Claimant(s): Stephen Fleischer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard J. Kaplan, Nanci Sondra Landy, Donna Greenspan Solomon
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 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 |
| 11-03762 | 05/28/2013 | Claimant(s): Robert Scott, Family Trust FBO Gregory Scott, Florida Qualified Personal Resident Trus, Gregory Scott Tee of Robert W. Scott, Jr, R. Scott, Jr. Grandchildren Spray Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Linda M. Granata, Richard J. Kaplan, Carlos E. Ayala
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-03950 | 03/26/2013 | Claimant(s): Richard Lindstrom, Robert Kwass, James and Ruth DeMartini, Norwood and Patricia Hoecker
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Dana Vietor
Arbitrator(s): Marc Scott Shapiro, Richard J. Kaplan, Jack G. Armstrong
Hearing Site: Boca Raton, FL
| | $350,300 |
| 11-02791 | 08/09/2012 | Claimant(s): Ann Ballas, Jonathan Nimphie, Stefani de Laville, Ann T. Ballas IRA, Martina A. Nimphie Rev Trust
Claimant Lawyers(s): Garry W. O'Donnell
Respondent(s): Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Richard J. Kaplan, George H. Rausch, Mark I. Roth
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04269 | 04/05/2011 | Claimant(s): Charlotte Leitner IRA, Lionel Leitner Revocable Trust, Lionel/Charlotte Leitner Family Trust, The Charlotte Lleitner Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Richard J. Kaplan, Michael J. Fingar, John H. Claudy
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02434 | 03/30/2011 | Claimant(s): Natalie Schoengood
Claimant Lawyers(s): Natalie Schoengood
Respondent(s): David Klein
Respondent Lawyers(s): David Louis Klein
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | $25,425 |
| 09-05421 | 01/28/2011 | Claimant(s): Randall Fausak
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis, Jr.
Arbitrator(s): Kinchen C. Bizzell, Richard J. Kaplan, Demetrio S. Timban
Hearing Site: New Orleans, LA
| | $107,475 |
