| 23-00816 | 12/19/2023 | Claimant(s): Elaine St. George
Claimant Lawyers(s): Elaine Nancy St. George
Respondent(s): J.P. Morgan Securities, Michael Baumhor
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Steven Gerard Goerke, Alan B. Goldstein, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
|  | Expungement |
| 19-03072 | 12/06/2022 | Claimant(s): Kanwaljit (Ken) Bakshi
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Leslie L. Cooney, Edward R. Niederriter, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01130 | 08/15/2022 | Claimant(s): Michline Saad
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Maria Calcena, Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): S. Ronald Daniels, Robert G. Falbisaner, Mark A. Jacoby
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00598 | 02/07/2022 | Claimant(s): Zoraida Cruz Torres, Fideicomiso Zoraida Cruz Torres
Claimant Lawyers(s): Luis E. Minana
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maria T. Alvarez-Santos
Arbitrator(s): Robert G. Falbisaner, Sergio A. Dominguez, Jose Francisco Cartaya Morales
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 20-04220 | 12/13/2021 | Claimant(s): Jorge Guerrero, Maria Espada
Claimant Lawyers(s): Luis E. Minana
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maria T. Alvarez-Santos
Arbitrator(s): Robert G. Falbisaner, Jaime Rosario, Wanda L Esteras
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 19-02559 | 11/20/2020 | Claimant(s): John Didomenico, on behalf of his IRA
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Daniel Raupp, Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski, Tanya S. Lambrechts
Arbitrator(s): Richard J. Kaplan, Joseph Benalt, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Dismissed |
| 17-02676 | 07/12/2019 | Claimant(s): Adriana Fuertes, Camelia Fuertes, Esther Mudafort And Roberto Fuertes
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Louis Frank Mendez, Roberto C. Quinones-Rivera
Arbitrator(s): Lynne T. Albert, Douglas Earl McLaren, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | $4,881,880 |
| 15-02282 | 12/19/2017 | Claimant(s): Olga Garcia Vincenty
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Salvador J. Antonetti-Stutts
Arbitrator(s): Paul Weinberg, Robert G. Falbisaner, Debra Black Leo
Hearing Site: San Juan, PR
| | Expungement |
| 14-00176 | 04/19/2016 | Claimant(s): Luis Siaca, New Century Development.
Claimant Lawyers(s): Edward H. Glenn, Marie Elsie Lopez Adames
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Marie G. Peterson, Harry G. Mason, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | Expungement |
| 13-03262 | 03/17/2016 | Claimant(s): Manuel Batlle, Cabat Company
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Randy R. Freedman, Robert G. Falbisaner, Alberto G. Estrella
Hearing Site: San Juan, PR
| | Stipulated Award and Expungement |
