| 23-01670 | 08/12/2024 | Claimant(s): Harriet Moskowitz
Claimant Lawyers(s): Chase Carlson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Randy R Freedman, Virginia Lee Perez-Berry, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-02466 | 02/08/2022 | Claimant(s): Kathleen Riordan, MSSB C/F Kathleen Olvany Riordan
Claimant Lawyers(s): John Olvany
Respondent(s): J. Shepard
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Gloria O. North, Robert Lawrence Ostrov, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-03652 | 12/18/2019 | Claimant(s): Ivanna Freddi, Juan Freddi, Monica Kuclik, Rosario Freddi
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Richard Carl Smukler, Virginia Lee Perez, Michael B Goldstein
Hearing Site: Miami, FL
| | $0 |
| 19-00291 | 07/16/2019 | Claimant(s): Gloria Martinez Torres, Julio Cay Montanez
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Roberto C. Quinones-Rivera
Arbitrator(s): Wayne Parker, Gerald Silverman, Virginia Lee Perez
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206/12504 |
