| 14-00442 | 03/21/2016 | Claimant(s): Lymarie Diaz, Nelson Irizarry
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): Edward R. Niederriter, Andrea Bailey, Allan R. Lazor
Hearing Site: San Juan, PR
|  | $1,200,300 |
| 15-01662 | 03/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): AXA Advisors
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Bernard A. Becker
Hearing Site: San Juan, PR
| | |
| 13-03262 | 03/17/2016 | Claimant(s): Manuel Batlle, Cabat Company
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Randy R. Freedman, Robert G. Falbisaner, Alberto G. Estrella
Hearing Site: San Juan, PR
| | Stipulated Award and Expungement |
| 14-00966 | 02/19/2016 | Claimant(s): The Estate of Gabriel J. Cadenas
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Lawrence E. Fenster, Roberto Quinones
Arbitrator(s): Charles Hoffman, Marie G. Peterson, Brian P. Jakes
Hearing Site: San Juan, PR
| | $0 |
| 14-00862 | 02/18/2016 | Claimant(s): Carmelo Nieves, Nelly Cruz, Caguas Mechanical Contrators
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of P R
Respondent Lawyers(s): Joel M. Everest, Roberto Quinones-Rivera
Arbitrator(s): Barry David Thorpe, Brian James Tagtmeier, Frank A. Little, Jr.
Hearing Site: San Juan, PR
| | Expungement |
| 14-01541 | 02/18/2016 | Claimant(s): Christel Bengoa Lopez
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Gregg M. McCormick
Arbitrator(s): Thomas M. Campbell, Kenneth R. Starr, Lawrence R. Maxwell
Hearing Site: San Juan, PR
| | $1,449,660 |
| 15-01948 | 02/01/2016 | Claimant(s): Carlos Miranda
Claimant Lawyers(s): Carlos J Miranda-Monroig
Respondent(s): Fairbridge Capital Markets
Respondent Lawyers(s): Eduardo Prado
Arbitrator(s): Randy R. Freedman
Hearing Site: San Juan, PR
| | |
| 14-02517 | 01/29/2016 | Claimant(s): ENME Real Estate Corp.
Claimant Lawyers(s): Adolfo J. Anzola
Respondent(s): Santander Securities
Respondent Lawyers(s): Jorge E. Perez-Dias
Arbitrator(s): Susan Meek, Scott A. Schweber, Raymond E. Cornelius
Hearing Site: San Juan, PR
| | Expungement |
| 14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg
Hearing Site: San Juan, PR
| | Expungement |
| 14-02683 | 12/24/2015 | Claimant(s): Ricardo Chipi
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Brad Konstandt, Roberto C. Quinones
Arbitrator(s): Gregory D. Hoffmann, James P. Kinkade, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | $795,770 |
