| 13-03717 | 02/14/2017 | Claimant(s): The Fideicomiso Santa Barbara Trust
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Randi Perry Spallina, Ross Firsenbaum
Arbitrator(s): Jerrold Levine, Richard S. Herman, Carl Henry Perdue
Hearing Site: Miami, FL
|  | $363,875 |
| 15-01607 | 03/25/2016 | Claimant(s): Daniel Silverstein
Claimant Lawyers(s): Daniel L. Silverstein
Respondent(s): Armen Karapetyan, Basis Financial
Respondent Lawyers(s): Armen Karapetyan
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
| | |
| 14-00821 | 02/18/2015 | Claimant(s): Ileana Platt, Rafael Urquidi
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Jerrold Levine, Andrea R. Jacobs, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | |
| 12-01222 | 10/03/2014 | Claimant(s): Ana Pardo, Laura Rodriguez, Manuel Corzo, Rosa Perez Rodriguez, Sofia Perez Brennan, Jaime P. Brennan & Liduvina R. De Perez, Luis A. Rotger & Dolly M. De Argueso
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Jerrold Levine, Richard J. Kaplan
Hearing Site: San Juan, PR
| | Expungement |
| 13-02237 | 05/14/2014 | Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
| | |
| 13-03013 | 05/14/2014 | Claimant(s): David Lugo
Claimant Lawyers(s): Roberto Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Nancy J. Cliff, Jerrold Levine, John H. Claudy
Hearing Site: San Juan, PR
| | |
| 11-04423 | 09/26/2013 | Claimant(s): Aurea Pou
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Nannette Berrios-Haddock, Roberto C. Quinones-Rivera
Arbitrator(s): Bernard A. Becker, Jerrold Levine, Louis David Huss
Hearing Site: San Juan, PR
| | Expungement |
| 11-01716 | 02/27/2013 | Claimant(s): Maria Berrios
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., Oriental Financial Services Corp., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Alfredo Fernandez Martinez, Nanette Berrios-Haddock, Robert C. Quinones
Arbitrator(s): Martin A. Feigenbaum, Jerrold Levine, Michael E. Pearson
Hearing Site: San Juan, PR
| | Expungement |
| 11-01987 | 12/20/2012 | Claimant(s): Richard and Maria Wood
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., Financial Network Investment Corporation, UBS Financial Svcs. of Puerto Rico
Respondent Lawyers(s): Nanette Berrios Haddock, Robert C. Quinones, Sonia Torres-Pabon
Arbitrator(s): Steven R. Reininger, Jerrold Levine, Thomas R. Noonan
Hearing Site: San Juan, PR
| | Expungement |
| 10-01816 | 11/26/2012 | Claimant(s): Carolyn Gilson
Claimant Lawyers(s): Jonathan Etra
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Bernard (Bob) L. Loring, Jerrold Levine, Daniel P. Lund
Hearing Site: Miami, FL
| | $367,055 |
