| 23-00964 | 09/12/2024 | Claimant(s): Federico Lopez Juarbe
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 23-00955 | 09/06/2024 | Claimant(s): Miguel Hernandez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Linette Figueroa-Torres
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 23-02920 | 08/29/2024 | Claimant(s): Roberto De Jesus
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Linette Figueroa-Torres
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 23-02942 | 08/15/2024 | Claimant(s): Michael Whitaker
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): G. Robert Abrams
Arbitrator(s): Warren A. Forest, Christopher J. Klein
Hearing Site: Orlando, FL
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| 23-02909 | 08/05/2024 | Claimant(s): Keith Wood
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Christopher J. Klein
Hearing Site: Orlando, FL
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| 23-02914 | 07/30/2024 | Claimant(s): Roberto De Jesus Pou
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 22-02639 | 07/03/2024 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 22-02770 | 05/24/2024 | Claimant(s): Mary Markham, Michael Markham
Claimant Lawyers(s): Scott L. Silver
Respondent(s): IFP Securities
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Christopher J. Klein, Guno Orlando Ritfeld, Mary Ann Etzler
Hearing Site: Orlando, FL
|  | Expungement |
| 24-00260 | 04/29/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Carlin A. McCrory
Respondent(s): Tony Graybeal
Respondent Lawyers(s): Tony Graybeal
Arbitrator(s): Christopher J. Klein
Hearing Site: Orlando, FL
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| 23-00443 | 04/24/2024 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y. Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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