| 11-00793 | 04/05/2012 | Claimant(s): Elizabeth Dawson
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): Jeffrey R. Roth
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 11-01032 | 03/23/2012 | Claimant(s): Angel Delucca-Marrero
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., Ramon Almonte, UBS Financial Services Inc. of PR
Respondent Lawyers(s): Enrique G. Figueroa-Llinas, Guillermo J. Bobonis
Arbitrator(s): Roy B. Gonas, Todd M. Saunders, Jeffrey R. Roth
Hearing Site: San Juan, PR
| | Expungement |
| 12-00566 | 03/08/2012 | Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Justine Hurry, Scottsdale Capital Advisors Corp.
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Thomas Michael Dillon, Jeffrey R. Roth, Robert Charles Stamm
Hearing Site: Miami, FL
| | Expungement |
| 10-02299 | 11/16/2011 | Claimant(s): Dramm.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Lewis J. Levey, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | Expungement |
| 09-06757 | 07/06/2011 | Claimant(s): Stephen Miller and Dawn Miller
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joel Margolies, Jeffrey R. Roth, Theodore Israel Herold
Hearing Site: Miami, FL
| | Expungement |
| 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 |
| 08-03051 | 05/14/2010 | Claimant(s): Desa Trading Co.
Claimant Lawyers(s): Mark D. Hunter
Respondent(s): Carlos Garcia, Advanced Trading Services
Respondent Lawyers(s): Carlos Manuel Garcia
Arbitrator(s): Todd M. Saunders, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | $125,000 |
| 07-00572 | 10/10/2008 | Claimant(s): Connie Falterbauer, Harry Falterbauer
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Jay Noiman, Sean Callahan, Viewtrade Securities.
Respondent Lawyers(s): Peter W. Homer
Arbitrator(s): Richard Anthony Jannuzzi, Jeffrey R. Roth, Dennis J. Levin
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
