| 17-00109 | 05/17/2018 | Claimant(s): UBS Financial Services Inc. Of PR
Claimant Lawyers(s): Christopher N. Manning
Respondent(s): David Efron
Respondent Lawyers(s): David Efron
Arbitrator(s): Christopher J. Klein, Peter A. Roche, Carl Henry Perdue
Hearing Site: Miami, FL
|  | $0 |
| 15-01399 | 01/09/2018 | Claimant(s): Beverly Hunnewell
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Jeffrey Newman, Sarah Burns, Park Avenue Securities LLC
Respondent Lawyers(s): David A. Weintraub, Neil S. Baritz, Z. Logan Gould
Arbitrator(s): Gilbert A. Schnirman, Christopher J. Klein, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | |
| 15-01865 | 08/21/2017 | Claimant(s): Carlos Capacete
Claimant Lawyers(s): Judith Berkan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Christopher J. Klein, Jaime Rosario, Rafael Maldonado Perez
Hearing Site: San Juan, PR
| | |
| 16-03262 | 06/09/2017 | Claimant(s): Randall Bodner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Christopher J. Klein
Hearing Site: Miami, FL
| | |
| 15-02189 | 12/14/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Jimmy Gonzalez
Respondent Lawyers(s): Jimmy Gonzalez
Arbitrator(s): Christopher J. Klein, Lance A. Harke, Stewart L. Appelrouth
Hearing Site: Miami, FL
| | |
| 16-02250 | 12/01/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Larry Underwood
Respondent Lawyers(s): Larry Michael Underwood
Arbitrator(s): Christopher J. Klein
Hearing Site: Miami, FL
| | |
| 13-03470 | 08/01/2016 | Claimant(s): Luis Marquez, L.A. Marquez.
Claimant Lawyers(s): Francisco Pujol, Harold Vicente Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR.
Respondent Lawyers(s): Brian F. Amery, Laura T. Ruiz-Rivera
Arbitrator(s): Gerald Silverman, Elena G. Rodriguez, Christopher J. Klein
Hearing Site: Miami, FL
| | $500,000 |
| 15-01066 | 05/23/2016 | Claimant(s): Keyon Dooling, Notosha Dooling, KLD Enterprises, John B. St. Clair and Shannon St. Clair
Claimant Lawyers(s): Charles Carlson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Will Murphy, Christopher J. Klein, Brett Matthew Logan
Hearing Site: Miami, FL
| | $819,300 |
| 14-01648 | 10/06/2015 | Claimant(s): Lourdes Rodriguez
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Daniel P. Lund, Christopher J. Klein, James D. Sallah
Hearing Site: Miami, FL
| | |
| 13-00038 | 07/05/2013 | Claimant(s): Fred Wang
Claimant Lawyers(s): Fred Simcha Wang
Respondent(s): UBS Fund Services (USA) LLC
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Christopher J. Klein
Hearing Site: San Juan, PR
| | Dismissed by Rule 12504 |
