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FINRA Awards for Scott L. Silver

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Displaying 31-40 out of 77 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0376610/02/2015Claimant(s): Ann Cole
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Sandra Gale Behrle, Frank E. Wolf, William M Peters
Hearing Site: Montpelier, VT
Checkmark IconExpungement
14-0032504/16/2015Claimant(s): Leon Wirtenberg
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christian D. Johnson
Arbitrator(s): B. J. Krintzman, Susan Largay, John J. Kenny
Hearing Site: Boston, MA
Checkmark IconExpungement
13-0222101/20/2015Claimant(s): Edward Schwartz
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
13-0276301/02/2015Claimant(s): Matthew Lowery
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Anastasios Belesis, Joseph Castellano, John Thomas Financial
Respondent Lawyers(s): Dan A. Druz, Joseph Castellano
Arbitrator(s): Sabrina Raquel Scott, David F. Rock, Mohr Ernest Hill
Hearing Site: Atlanta, GA
Checkmark Icon$1,250,250
12-0122210/03/2014Claimant(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
Checkmark IconExpungement
13-0026407/24/2014Claimant(s): Norma Peters and Craig Shields
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Joseph I. Liebman
Hearing Site: New York, NY
Checkmark IconExpungement
12-0133007/01/2014Claimant(s): Audrie Perez-Llana Thomas, Benjamin Thomas, Edgar Thomas, Katrinka Powers, Phillip Thomas, Robert Boyatt, Theresa Hornsby, Bobby & Marcella Crawford, Danny & Betty Thomas, Donald & Virginia Headley, Phil & Karen Thomas, Edgar Thomas and Kathleen Thomas Trust, Gordon E. Thomas Revocable Trust, Irma M. Thomas Revocable Trust, Pauline Webb Revocable Trust
Claimant Lawyers(s): Mark David Hunter, Scott L. Silver
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Mauricio Arcadier, Ronald Charles Waters, Rose Erika Kennedy
Hearing Site: Orlando, FL
Checkmark IconExpungement
12-0122302/03/2014Claimant(s): Sylviano Lopez Rivera
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, Louis David Huss
Hearing Site: San Juan, PR
Checkmark IconExpungement
11-0442309/26/2013Claimant(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
Checkmark IconExpungement
11-0472409/17/2013Claimant(s): Flor Reyes Del Valle
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorp. of PR.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, Rodolfo C. Angulo
Hearing Site: San Juan, PR
Checkmark IconExpungement

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