| 15-00097 | 06/22/2016 | Claimant(s): John McNicholas, Natalie Illig McNicholas
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Glenn Franklin Fuller
Hearing Site: Miami, FL
|  | Expungement |
| 14-03006 | 07/15/2015 | Claimant(s): Lourdes Santiuste
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Bruce Zipper, Christopher Mcnamee, Dakota Securities International.
Respondent Lawyers(s): Bruce Martin Zipper, Bruce Zipper
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | Stipulated Award |
| 12-02755 | 07/17/2014 | Claimant(s): Alberto Herz, Rosa Benedetti, Rosalba Capital, LTD
Claimant Lawyers(s): Lance C. Arney
Respondent(s): Javier Naselli, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Seth L. Finkel, Michael P. Schiff, Harry Albirt
Hearing Site: Miami, FL
| | Expungement |
| 12-00725 | 09/06/2013 | Claimant(s): Genaro Mojica Negron, Luz Avila Jimenez
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Roberto Rivera Vazquez, Popular Securities.
Respondent Lawyers(s): Nestor M. Mendez, Sara L. Velez-Santiago
Arbitrator(s): Steven M. Greenbaum, Seth L. Finkel, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $0 |
| 12-00844 | 08/05/2013 | Claimant(s): Ruvim London
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Seth L. Finkel, Warren D. Brown, Guillermo A. Gleizer
Hearing Site: Miami, FL
| | Expungement |
| 11-03166 | 09/25/2012 | Claimant(s): Bernard Kaszovitz, Floradahl Sacks Trust
Claimant Lawyers(s): David H. Charlip, Stephen David Murakami
Respondent(s): Sean Clancy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Seth L. Finkel, John H. Claudy, Thomas Roy Spencer
Hearing Site: Miami, FL
| | Expungement |
| 11-02072 | 06/05/2012 | Claimant(s): Benito Figueras, Clara Fernandez De La Lastra
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): UBS Financial Services Inc. of PR
Respondent Lawyers(s): Guillermo J. Bobonis
Arbitrator(s): Seth L. Finkel, Fredrick T.W. Reed, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | $522,961 |
| 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 |
| 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 |
| 10-02976 | 06/21/2011 | Claimant(s): Bernard Moskowitz
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Jack Patterson, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Bullington, Russell C. Weigel
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | Expungement |
