| 18-03558 | 04/23/2019 | Claimant(s): Hermann Hertell
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 18-03001 | 04/17/2019 | Claimant(s): David Rojas
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Isabel Torres-Sastre
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
| | |
| 17-03181 | 04/04/2019 | Claimant(s): Daniela Spinola Gonzalez
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Safra Securities LLC
Respondent Lawyers(s): Aaron Marks
Arbitrator(s): Mark A. Myers, Juan Antonio Suarez Rodriguez, Jaime Enrique II Cruz Perez
Hearing Site: San Juan, PR
|  | $68,500 |
| 18-03613 | 03/27/2019 | Claimant(s): Alfonso Boneta
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 18-03232 | 03/11/2019 | Claimant(s): Felicita Camacho, Jose Camacho
Claimant Lawyers(s): Felicita Camacho, Jose M. Camacho
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez Freire
Arbitrator(s): Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $8,131 |
| 17-00765 | 02/13/2019 | Claimant(s): The Malave-Torres Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Michael J. Ahlstrom, Cheryl E. Winton, Mark Ritchie
Hearing Site: San Juan, PR
| | Expungement |
| 16-00737 | 02/12/2019 | Claimant(s): R. A. Rosario, for his Retirement Plan
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Thomas Joseph Atkinson, Jane A. Smith, Neil Harvey Smith
Hearing Site: San Juan, PR
| | $135,630 |
| 15-00675 | 01/29/2019 | Claimant(s): Luis Colon Martinez
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): William H. Fleece, A.J. Seier, Joseph A Newcomb
Hearing Site: San Juan, PR
| | Expungement |
| 16-01409 | 01/29/2019 | Claimant(s): Ana Bared, Luis Bared
Claimant Lawyers(s): Francisco Pujol Meneses, Harold D. Vicente Colon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Stuart K. Furman, Kenneth R. Starr, John Joseph Sullivan
Hearing Site: San Juan, PR
| | Expungement |
| 18-03000 | 01/28/2019 | Claimant(s): David Rojas
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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