| 17-00853 | 02/12/2018 | Claimant(s): Craig Price
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Frederick P. Hartman, Richard W. Epstein, Gilbert A. Schnirman
Hearing Site: Boca Raton, FL
| | |
| 16-02093 | 05/26/2017 | Claimant(s): Kurt Sylvia
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Karen Z. Fischer, Sandra J. Bakalus, Stephen Kahane
Hearing Site: Boca Raton, FL
| | |
| 16-02666 | 05/03/2017 | Claimant(s): Joseph Piellucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz, Michael Naccarato
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 16-01979 | 02/03/2017 | Claimant(s): Veronica Lopez-Lopez
Claimant Lawyers(s): Benjamin J . Biard
Respondent(s): UBS International Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Jonathan H. Parker, Barry David Thorpe, Jeanne Charles Wood
Hearing Site: Miami, FL
| | Expungement |
| 16-01775 | 01/26/2017 | Claimant(s): Patrick Biggins
Claimant Lawyers(s): Mark Wilson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Bertrand C. Moser, Robert L. Rolnick, David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 14-02911 | 05/09/2016 | Claimant(s): Michael Ohlman
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Patricia Gunn
Hearing Site: Tampa, FL
| | |
| 15-00492 | 11/20/2015 | Claimant(s): Heidi O'Brien, Raymond O'Brien
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
|  | Expungement |
| 14-01023 | 05/11/2015 | Claimant(s): Rosemarie Cufalo
Claimant Lawyers(s): Rosemarie Cufalo
Respondent(s): Ramon Almonte
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
| | $0 |
| 10-04168 | 09/18/2013 | Claimant(s): Julio Paniagua, Maria Paniagua
Claimant Lawyers(s): Carlos B. Castillo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Gerald Silverman
Hearing Site: Miami, FL
| | Expungement |
| 12-02646 | 03/07/2013 | Claimant(s): Alfonso Boneta
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Lydia Rodriguez Tirado, Oscar Diaz
Respondent Lawyers(s): Lydia Rodriguez Tirado, Oscar Diaz
Arbitrator(s): Bernard (Bob) L. Loring, Bernard A. Becker, Barth Satuloff
Hearing Site: San Juan, PR
| | Expungement |
