| 16-02036 | 11/29/2017 | Claimant(s): Michael Ratner, UBS Credit Corp.
Claimant Lawyers(s): Arthur C. Koski, Michael D. Lee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): James W. Geiger, Leonard Michael Cusano, Andrew F. Greitz
Hearing Site: Boca Raton, FL
| | |
| 14-01998 | 11/20/2017 | Claimant(s): James Farrant
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Candida Bobonis Roig, Dario Ochoa, Franco Fullana, Santander Securities LLC
Respondent Lawyers(s): Matthew E. Wolper, Sara Lydia Velez-Santiago
Arbitrator(s): James W. Geiger, Marc T. Danon, Ronald Charles Waters
Hearing Site: San Juan, PR
|  | Expungement |
| 16-02395 | 11/09/2017 | Claimant(s): AMCAN Holdings., Card Realty Investments, Rich Realty.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): James W. Geiger, Joel F. Martineau, John B. Sochacki
Hearing Site: Boca Raton, FL
| | $37,916 |
| 15-00022 | 12/02/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 15-00880 | 11/04/2016 | Claimant(s): Deborah Adeimy
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janelle M. Ahnert
Arbitrator(s): James W. Geiger, Carolyn E. Moore, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | |
| 15-00930 | 08/03/2016 | Claimant(s): Alan Greenspan
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): FMSBONDS.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Steven Ira Weinberger, James W. Geiger, Sydney E. Blum
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 15-00369 | 06/27/2016 | Claimant(s): Christopher Mcdermott
Claimant Lawyers(s): Curtis Carlson
Respondent(s): MBSC Securities Corporation, BNY Mellon, N.A.
Respondent Lawyers(s): Alec Hillbo, Daniel Canales
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Michael McCallion
Hearing Site: Boca Raton, FL
| | |
| 14-00529 | 04/13/2016 | Claimant(s): David Menashe
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Ann Aylesworth
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $100,000 |
| 14-02560 | 02/08/2016 | Claimant(s): Herbert Jablin
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Lawrence M. Green, James W. Geiger, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | |
| 14-00886 | 10/09/2015 | Claimant(s): Carmen Buono Colon
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Popular Securities, Santander Securities LLC
Respondent Lawyers(s): Nathan W. Lamb, Sara L. Velez-Santiago
Arbitrator(s): James W. Geiger, William H. Fleece, Robert Jerry Strader
Hearing Site: San Juan, PR
| | Expungement |
