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FINRA Awards for UBS Trust Company of Puerto Rico

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0125605/23/2016Claimant(s): Asociacion de Empleados Del Estado Libre
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto Quinones
Arbitrator(s): Gerald Silverman, Clement Osimetha, Sydney E. Blum
Hearing Site: San Juan, PR
Checkmark Icon$0
14-0178409/09/2015Claimant(s): Berta Ganapolsky
Claimant Lawyers(s): Jonathan F. Claussen
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Asset Managers of Puerto Rico, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Gregg M. McCormick, Roberto C. Quinones
Arbitrator(s): Monroe Mitchel, Brian P. Jakes, Richard Merritt Langway
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$0
13-0016710/09/2014Claimant(s): Eliezer Aldarondo-Ortiz
Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez
Respondent(s): Carlos Ortiz Leon, Edgardo Cabanillas, UBS Financial Services Inc., Miguel Ferrer, UBS Financial Services Inc Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Bernard A. Becker, Adrien Sapiro
Hearing Site: San Juan, PR
Checkmark IconExpungement
10-0250301/30/2012Claimant(s): Leonor Garcia, Trust of Leonor Ochoa Garcia, Trust of Peter-Ochoa
Claimant Lawyers(s): Francis Pagan Martinez
Respondent(s): UBS Financial Services Inc., UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto C. Quinones
Arbitrator(s): Bernard A. Becker, Todd M. Saunders, Thomas R. Noonan
Hearing Site: San Juan, PR
Checkmark IconExpungement

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