| 12-03319 | 05/15/2014 | Claimant(s): Jorge Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Carlos Bobonis Gonzalez
Arbitrator(s): S. William Gersten, Stuart K. Furman, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | |
| 12-03321 | 04/21/2014 | Claimant(s): Awilda Martinez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Puerto Rico
Respondent Lawyers(s): Nannette Berrios-Haddock, Roberto C. Quinones-Rivera
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
|  | Expungement |
| 13-01933 | 04/10/2014 | Claimant(s): Michael Celso
Claimant Lawyers(s): Brian Horwitz
Respondent(s): Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Stuart K. Furman, Robert Finder, Alexander Joseph Sikora
Hearing Site: Orlando, FL
| | |
| 12-03364 | 02/19/2014 | Claimant(s): Roy Richard
Claimant Lawyers(s): William B. Young
Respondent(s): Timothy Mosley
Respondent Lawyers(s): James D. Sallah
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
| 11-04271 | 09/23/2013 | Claimant(s): Felix Bernard-Diaz, Julian Rodriguez, Luz Rodriquez
Claimant Lawyers(s): Luz Ivette Rivera
Respondent(s): Jorge Bravo, Rafael Colonascar, Sonia Marbarak, BBVA Securities Of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks, Jose A. Sosa Llorens
Arbitrator(s): Gustavus L. Pearthree, Nicholas John Taldone, Stuart K. Furman
Hearing Site: San Juan, PR
| | $1,212,500 |
| 13-00143 | 08/22/2013 | Claimant(s): SII Investments.
Claimant Lawyers(s): Carlos E. Mustelier
Respondent(s): Gerald Plachta
Respondent Lawyers(s): Gerald Jeffry Plachta
Arbitrator(s): Stuart K. Furman
Hearing Site: Jacksonville, FL
| | |
| 12-01872 | 07/05/2013 | Claimant(s): Michael Usina
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Stuart K. Furman
Hearing Site: Jacksonville, FL
| | Expungement |
| 12-03633 | 05/03/2013 | Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quiones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorporated,PR
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Gerald Silverman, Stuart K. Furman, Robert Charles Stamm
Hearing Site: San Juan, PR
| | |
| 11-00758 | 10/04/2012 | Claimant(s): Carlos Perez
Claimant Lawyers(s): Marie Elsie Lopez-Adams
Respondent(s): Citigroup Global Markets., Juan Estarellas Sabater
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Bernard A. Becker, Stuart K. Furman, Guillermo A. Gleizer
Hearing Site: San Juan, PR
| | $25,300 |
| 12-01114 | 10/03/2012 | Claimant(s): Connie Knox
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Stuart K. Furman
Hearing Site: Birmingham, AL
| | $17,925 |
