12-03042 | 01/30/2014 | Claimant(s): Joaquin Monserrate-Matienzo, Roxana Matienzo-Carrion Claimant Lawyers(s): David R. Chase Respondent(s): Popular Securities. Respondent Lawyers(s): Nathan W. Lamb Arbitrator(s): Steven Gerard Goerke, Michael Lau, Raymond W. Snow Hearing Site: San Juan, PR
| | $0 |
12-01538 | 01/17/2014 | Claimant(s): Elliott Rosenzweig Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Julian W. Wells Arbitrator(s): Steven Gerard Goerke, Richard W. Epstein, Theresa Lillian Mains Hearing Site: Ft. Lauderdale, FL
| | Expungement |
11-00422 | 11/13/2013 | Claimant(s): Randy Maslow Claimant Lawyers(s): Ross B. Intelisano Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Katherine M. Jensen Arbitrator(s): Jack Stein, Steven Gerard Goerke, Richard Carl Smukler Hearing Site: Boca Raton, FL
| | $0 |
11-03618 | 07/08/2013 | Claimant(s): Sandra Meisenzahl, Leonard B. Meisenzahl Trust, Sandra Meisenzahl Revocable Living Trust Claimant Lawyers(s): W. Scott Turnbull Respondent(s): Gerald Fasanella, Mutual Service Corporation, AIG Financial Advisors., Next Financial Group. Respondent Lawyers(s): Craig A. Vollono, Fred N. Knopf, Marc S. Dobin, Peter B. King Arbitrator(s): Steven Gerard Goerke, William Kent Brown, Lee Alan Rosenblum Hearing Site: Boca Raton, FL
| | Expungement |
13-00038 | 07/05/2013 | Claimant(s): Fred Wang Claimant Lawyers(s): Fred Simcha Wang Respondent(s): UBS Fund Services (USA) LLC Respondent Lawyers(s): Alise Johnson Henry Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Christopher J. Klein Hearing Site: San Juan, PR
| | Dismissed by Rule 12504 |
12-00187 | 06/14/2013 | Claimant(s): Henry Hansen, Henry F. Hansen, IRA Claimant Lawyers(s): D. Daxton White Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Randi Perry Spallina Arbitrator(s): Steven Gerard Goerke Hearing Site: Boca Raton, FL
| | Expungement |
12-01118 | 05/06/2013 | Claimant(s): Dawn Bortman Claimant Lawyers(s): Christopher J. Gray Respondent(s): Henry Lucander Respondent Lawyers(s): Henry Lucander Arbitrator(s): Steven Gerard Goerke, Dennis M. Ross, Robert S. Shuster Hearing Site: Boca Raton, FL
| | $110,250 |
12-00569 | 02/06/2013 | Claimant(s): Richard Fisher Claimant Lawyers(s): Robert H. Rex Respondent(s): Edward Jones Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Steven Gerard Goerke, Marc T. Danon, Richard S. Herman Hearing Site: Boca Raton, FL
| | Expungement |
10-05365 | 01/28/2013 | Claimant(s): Lueny Bobadilla, Waldemar Ramirez Claimant Lawyers(s): Scott L. Silver Respondent(s): UBS Financial Services Inc., Santander Securities Respondent Lawyers(s): Richard L. Martens, Roberto C. Quinones-Rivera Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Charles Hoffman Hearing Site: San Juan, PR
| | Expungement |
11-01901 | 11/30/2012 | Claimant(s): Henry Weiss Claimant Lawyers(s): Adam J. Gana Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Steven Gerard Goerke, Jill Pilgrim, Marie G. Peterson Hearing Site: Ft. Lauderdale, FL
| | Expungement |