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FINRA Awards for Matthew C. Plant

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0105606/28/2018Claimant(s): Wilfredo Alvarez
Claimant Lawyers(s): Renato Barrios
Respondent(s): Ibrahim Arce, UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Matthew C. Plant, Roberto C. Quinones-Rivera
Arbitrator(s): Jan Glenn Valecka, Edward R. Niederriter, Chris J. Conanan
Hearing Site: San Juan, PR
Checkmark Icon$0
14-0212205/22/2017Claimant(s): Aida Mancini, Conchita Rivera, Joaqmar.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Frank J. Cuccio, Matthew C. Plant
Arbitrator(s): Monroe Mitchel, Keith L. Saunders, Robert Stewart Barney
Hearing Site: San Juan, PR
Checkmark IconExpungement
14-0151103/23/2017Claimant(s): Irving Vega Baez, Lourdes Anadon
Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez, Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Matthew C. Plant, Roberto C. Quinones
Arbitrator(s): Daniel E. Gulden, Will Murphy, Robert J. Gregory
Hearing Site: San Juan, PR
Checkmark IconExpungement
10-0563504/16/2013Claimant(s): Dennis Lowery, James Vaughn, Robert Cancellieri
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Fred S. Pieroni, Jacob Aschkenasy, Douglas S. Abel
Hearing Site: New York, NY
Checkmark IconExpungement
11-0075306/15/2012Claimant(s): William Heinzerling
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Romaine L. Gardner, Abigail J. Pessen, Maya Steinitz
Hearing Site: New York, NY
Checkmark Icon$0

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