| 18-01192 | 09/21/2018 | Claimant(s): Rosemary Hansen
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): LPL Financial LLC, Rey Whitehorn
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
|  | $6,213 |
| 16-00553 | 03/27/2017 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Darlene R. Gimble
Respondent(s): Sagepoint Financial., American General Securities Incorporated
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles Hoffman, Robert H. Loevin, John Roth Roberts
Hearing Site: Boca Raton, FL
| | |
| 14-00966 | 02/19/2016 | Claimant(s): The Estate of Gabriel J. Cadenas
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Lawrence E. Fenster, Roberto Quinones
Arbitrator(s): Charles Hoffman, Marie G. Peterson, Brian P. Jakes
Hearing Site: San Juan, PR
| | $0 |
| 13-03423 | 12/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig Stein
Respondent(s): Gustavo Caballero
Respondent Lawyers(s): W. Steven Adams
Arbitrator(s): Charles Hoffman, Dorota J. Trzeciecka, Sophia Ohanessian
Hearing Site: Miami, FL
| | |
| 14-01349 | 12/17/2015 | Claimant(s): Patricia Bendit
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Frederick P. Hartman, Charles Hoffman, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01072 | 02/12/2015 | Claimant(s): Efrosini Barish
Claimant Lawyers(s): Stephen D. Barish
Respondent(s): Park Avenue Securities LLC, Securian Financial Services.
Respondent Lawyers(s): Matthew D. Klafter, Neil S. Baritz
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
| | $18,600 |
| 11-01031 | 07/02/2014 | Claimant(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
| | Expungement |
| 12-03910 | 12/03/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): David Kraft
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
| | |
| 12-00906 | 11/14/2013 | Claimant(s): Anthony Magrino, Robin Kratman, Thomas Buchanan
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Jan Scher, PFS Investments.
Respondent Lawyers(s): Brett A. Rogers
Arbitrator(s): Steven N. Ainbinder, Charles Hoffman, Mauricio Arcadier
Hearing Site: Miami, FL
| | $0 |
| 11-01173 | 08/15/2013 | Claimant(s): Ramon Puig Rodriguez and Evelyn Carrion
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Charles Hoffman
Hearing Site: San Juan, PR
| | Expungement |
