| 15-03421 | 03/20/2018 | Claimant(s): Antonio Gnocchi Franco, A.G. Franco Law Off. Pension Plan 1/1/89
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi Perry Spallina, Sara Soto
Arbitrator(s): Lawrence S. Silver, Gilbert A. Schnirman, Will Murphy
Hearing Site: Miami, FL
|  | $270,639 |
| 16-02000 | 10/13/2017 | Claimant(s): National Steel & Copper Plate Co.., Jon R. Marden Living Trust
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David Rich, Andrea R. Jacobs, John B. Sochacki
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-03376 | 08/09/2016 | Claimant(s): Central American Management, Ltd, Servicios Integrados en Pre-Neccesidad
Claimant Lawyers(s): Jorge A. Mestre, Vincent Schmeltz
Respondent(s): Vicente Ferrera Azarak, Global Investor Services, L.C.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Nancy J. Cliff, Theodore Roy Bayer
Hearing Site: Miami, FL
| | Expungement |
| 10-05741 | 04/01/2013 | Claimant(s): Oscar Ovalles
Claimant Lawyers(s): Gabriel Groisman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, John H. Claudy
Hearing Site: Miami, FL
| | Expungement |
| 11-02758 | 11/02/2012 | Claimant(s): Joseph Vollmer, Robert Vollmer, POA for J. Vollmer
Claimant Lawyers(s): Robert W. Vollmer, POA for J. Vollmer
Respondent(s): Wells Fargo Advisors, James Copley, Mark Vaughan, Thomas Tiner
Respondent Lawyers(s): Sara Soto, Scott A. Eichhorn
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | $0 |
| 11-02669 | 10/11/2012 | Claimant(s): Sirotkin Family Limited Partnership
Claimant Lawyers(s): Michael Hill
Respondent(s): Wells Fargo Advisors, Patsy Lillehei
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Ira Weinberger, Frances D. Sheehy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00723 | 05/21/2012 | Claimant(s): Dianna Crossman
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wells Fargo Advisors, Cynthia Kines
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Cheryl E. Winton, Richard F. Lang, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-03425 | 02/14/2012 | Claimant(s): Francis Hempfling
Claimant Lawyers(s): Layne Verebay
Respondent(s): Wachovia Securities, Eric Nilson
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Janet N. Smiles, Sydney E. Blum
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 09-02643 | 05/20/2010 | Claimant(s): Carol Bell, Walter Bell
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): V. Michael Pabalis, Dennis R. Nolte, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
| 09-02077 | 01/08/2010 | Claimant(s): Mark Kielar, Tammy Kielar, ACTS Capital Investments
Claimant Lawyers(s): Scott J. Link
Respondent(s): Alterna Capital Corp.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Stuart Harvey Ziegler, Sydney E. Blum, Stephen Farquhar Adams
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
