| 10-05795 | 10/22/2012 | Claimant(s): Claribel Fraguada
Claimant Lawyers(s): Marie E. Lopez Adames
Respondent(s): Ramon Dominguez Thomas, RD Capital Group.
Respondent Lawyers(s): Luis Sanchez Betances
Arbitrator(s): Mark C. Perry, Todd M. Saunders, Armando E. Ramirez Vivoni
Hearing Site: San Juan, PR
|  | $0 |
| 11-04205 | 09/04/2012 | Claimant(s): Jerry Stiffel
Claimant Lawyers(s): Jerry Stiffel
Respondent(s): First Southwest Company
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): Mark C. Perry, John J. Phelan, Myron S. Dunay
Hearing Site: Boca Raton, FL
| | $0 |
| 11-02032 | 08/10/2012 | Claimant(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
| | $36,977 |
| 11-01969 | 06/14/2012 | Claimant(s): Susan Mohseni
Claimant Lawyers(s): Younes Mohseni
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | $0 |
| 10-02350 | 06/08/2012 | Claimant(s): Ida Rodriguez, Jose Colon
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Alberto Castaner, Jorge Rodriguez, Kyrsis Marrero, Popular Securities.
Respondent Lawyers(s): Heidi Rodriguez-Benitz
Arbitrator(s): Mark C. Perry
Hearing Site: San Juan, PR
| | $0 |
| 10-01444 | 04/02/2012 | Claimant(s): Luis Espinosa, Maritza Garcia, Luit Ortiz Espinosa Pension Plan
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Rafael Rodriguez-Abella, BBVA Securities of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Mark C. Perry, Thomas Czinner, Neil J. Berman
Hearing Site: San Juan, PR
| | $0 |
| 10-05324 | 02/03/2012 | Claimant(s): Ana Rosa Garcia, Luis Rosario Serrano
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maritere Colon-Dominguez
Arbitrator(s): Mark C. Perry, Elena G. Rodriguez, Daniel P. Lund
Hearing Site: San Juan, PR
| | Expungement |
| 10-01541 | 08/09/2011 | Claimant(s): Thomas Mulvey and Diane Mulvey
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark C. Perry, Howard Bernstein, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05587 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Angel Aquino
Respondent Lawyers(s): Roberto Boneta
Arbitrator(s): Mark C. Perry, Ilisa J. Smukler, Neil J. Berman
Hearing Site: San Juan, PR
| | |
| 09-05210 | 02/11/2011 | Claimant(s): Patricia Schluter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Carlos Gonzalez, Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Mark C. Perry, David Gerber, Ronald Kenneth Summers
Hearing Site: Boca Raton, FL
| | Expungement |
