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FINRA Awards for Rafael E. Lugo-Sotomayor

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Displaying 10 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0369007/30/2015Claimant(s): Maria Lopez-Almaguer
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Raymond C. Kerr, Allen M. Kerpan, Richard Merritt Langway
Hearing Site: San Juan, PR
Checkmark IconExpungement
11-0042510/17/2014Claimant(s): Haydee de Cancio, Pablo Cancio
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Citigroup Global Markets., Juan Colon-Perea, Popular Securities.
Respondent Lawyers(s): Jason S. Haselkorn, Roberto C. Quinones-Rivera
Arbitrator(s): Monroe Mitchel, Stuart K. Furman, Robert G. Falbisaner
Hearing Site: San Juan, PR
Checkmark IconExpungement
11-0103107/02/2014Claimant(s): Ramon Ramirez, Sylvia Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Citigroup Global Markets., Popular Securities.
Respondent Lawyers(s): Jason S Haselkorn, Roberto C. Quinones-Rivera
Arbitrator(s): Charles Hoffman, Stuart K. Furman, Jeffrey R. Roth
Hearing Site: San Juan, PR
Checkmark IconExpungement
12-0331905/15/2014Claimant(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
12-0332104/21/2014Claimant(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
Checkmark IconExpungement
11-0439002/26/2014Claimant(s): Ada Robles-Davila, Jose Sanchez-Velez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Ruben Rodriguez, Oriental Financial Services Corp.
Respondent Lawyers(s): Alfredo Fernandez Martinez, Ruben Rodriguez-Dominguez
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Luz Ivette Rivera
Hearing Site: San Juan, PR
Checkmark IconExpungement
11-0184311/11/2013Claimant(s): Wilfredo Ortiz Aponte
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): RD Capital Group.
Respondent Lawyers(s): James J. Moylan
Arbitrator(s): Robert S. Natiss, Daniel P. Lund, Guillermo A. Gleizer
Hearing Site: San Juan, PR
11-0203208/10/2012Claimant(s): Blanca Burgos-Fernandez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Mark C. Perry, Reinaldo Royo, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
Checkmark Icon$36,977
10-0420406/20/2012Claimant(s): Bluegrass Corporation.
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Manuel Gonzalez, Santander Securities
Respondent Lawyers(s): Alfredo Fernandez Martinez
Arbitrator(s): Robert H. Hagan, Stuart K. Furman, Guillermo A. Gleizer
Hearing Site: San Juan, PR
Checkmark Icon$74,500
10-0366305/04/2012Claimant(s): Jose Flores
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Jeffrey Lopez, UBS Financial Services Inc., BBVA Securities of Puerto Rico., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Anibal Lugo-Miranda, Debra A. Jenks, Roberto Quinones
Arbitrator(s): Bernard (Bob) L. Loring, Jerrold Levine, Louis David Huss
Hearing Site: San Juan, PR
Checkmark IconExpungement

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