| 10-00943 | 06/01/2011 | Claimant(s): Juan Carvajal
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Jonathan H. Parker, Jeffrey R. Roth, Barry David Thorpe
Hearing Site: Miami, FL
| | |
| 09-05922 | 12/06/2010 | Claimant(s): Alicia Cofresi-Vila
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Miguel Suau, Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
|  | $0 |
| 09-05324 | 09/03/2010 | Claimant(s): Javier Corujo-Ramsey
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Lincoln Financial Securities Corp
Respondent Lawyers(s): Frank La Fontaine
Arbitrator(s): Jonathan H. Parker, Reinaldo Royo, Stuart K. Furman
Hearing Site: San Juan, PR
| | |
| 08-00632 | 07/27/2010 | Claimant(s): Elizabeth Richert
Claimant Lawyers(s): Elizabeth K. Richert
Respondent(s): Timothy Ruggiero, Brookshire Securities Corporation
Respondent Lawyers(s): Ken Pollock
Arbitrator(s): Jonathan H. Parker, Lawrence S. Silver, Jeffrey R. Roth
Hearing Site: Miami, FL
| | $17,500 |
| 09-01648 | 07/16/2010 | Claimant(s): Joseph Demty, Mr. Joseph J. Demty, IRA
Claimant Lawyers(s): Joseph J. Demty
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Elizabeth A. Fitzwater
Arbitrator(s): Nancy J. Cliff, Jonathan H. Parker, Daniel P. Lund
Hearing Site: Miami, FL
| | $0 |
| 07-03489 | 10/14/2008 | Claimant(s): Miguel A. Falcon and Marta Ortiz-Cruz
Claimant Lawyers(s): Elba Sanchez-Gonzalez
Respondent(s): Citigroup Global Markets Puerto Rico Inc
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Elena G. Rodriguez, Jonathan H. Parker, Reinaldo Royo
Hearing Site: San Juan, PR
| | $0 |
| 07-00796 | 07/17/2008 | Claimant(s): John Simon
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Gary M. Landau, Frances D. Sheehy, Jonathan H. Parker
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
