| 23-01826 | 11/15/2023 | Claimant(s): Michael West
Claimant Lawyers(s): Michael West
Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
|  | $300 |
| 17-01244 | 06/12/2019 | Claimant(s): Sandra Calderon, Bluebird Corporation
Claimant Lawyers(s): Gregg Breitbart, Osvaldo Carlo Linares
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina, Roberto C. Quinones
Arbitrator(s): Mary E. Woytek, Allan R. Lazor, Stephen Louis Wright
Hearing Site: San Juan, PR
| | Expungement |
| 16-03237 | 02/07/2019 | Claimant(s): Jose Diaz Velarde, Sara San Martin
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Monica I. Salis, James Casimir Casey
Hearing Site: Miami, FL
| | Expungement |
| 11-01335 | 01/07/2013 | Claimant(s): Catherine Cox, William Cox, William E. Cox Irrevocable Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mauricio Arcadier, Robert J. Buchner, Scott Louis Fishman
Hearing Site: Boca Raton, FL
| | Expungement |
