| 15-02646 | 08/04/2021 | Claimant(s): Lizmarie Esparza, JL Esparza., Jose Esparza & Egdalis Blanco De Esparza
Claimant Lawyers(s): Luis E. Minana, Luis Elvin Gonzalez
Respondent(s): Oriental Financial Services
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Stuart Sinai, David Edward Upton, Richard Francis Kane
Hearing Site: San Juan, PR
|  | $700,000 |
| 20-01860 | 01/22/2021 | Claimant(s): Thomas West
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): David Edward Upton, Glenn H. Catalano, Tina E. Patterson
Hearing Site: Richmond, VA
| | |
| 18-01527 | 11/12/2019 | Claimant(s): Jose F. Ortiz Vazquez IRA, Jose F. Ortiz Vazquez & Sandra M. Garcia
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis
Arbitrator(s): David Edward Upton, Richard H. Porter, Frank V. Tutone
Hearing Site: San Juan, PR
| | $0 |
| 19-00269 | 09/13/2019 | Claimant(s): Michael Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, Oneamerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): David Edward Upton
Hearing Site: Norfolk, VA
| | $0 |
| 15-02316 | 08/29/2018 | Claimant(s): Iris Burgos-Rodriguez, Jose Diaz-Burgos, Jose Diaz-Martinez, Nellie Aponte-Flecha
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Joel M. Everest
Arbitrator(s): David Edward Upton, Debra Black Leo, Ronald L. Goss
Hearing Site: San Juan, PR
| | $300,000 |
| 14-02548 | 05/04/2017 | Claimant(s): Antonio Guadarrama, Ivonne Gonzalez, Jose Guadarrama
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Mauricio O. Muniz Luciano
Arbitrator(s): Randy R. Freedman, William S. Glickfield, David Edward Upton
Hearing Site: San Juan, PR
| | Expungement |
| 14-03130 | 04/16/2015 | Claimant(s): Mahdi Asadnia
Claimant Lawyers(s): Mahdi Asadnia
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): David Edward Upton
Hearing Site: Richmond, VA
| | $0 |
| 12-03649 | 04/07/2014 | Claimant(s): Fred Hetzel
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Erinn Ford, James Ortlip, Mark McCloskey, Philip Pizelo, Shanon Ford, AOG Wealth Managment, Alpha Omega Group., Pacific West Securities.
Respondent Lawyers(s): Erinn J. Ford, Joseph Campo, Mark T. McCloskey, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): David Edward Upton, Carol A. Schuyler, William F. Etherington
Hearing Site: Richmond, VA
| | Expungement |
| 12-03672 | 02/18/2014 | Claimant(s): John Francesconi
Claimant Lawyers(s): John Francesconi
Respondent(s): Carl Lamberti
Respondent Lawyers(s): Carl Hunter Lamberti
Arbitrator(s): Anthony J. Frank, Janice L. Burnham, David Edward Upton
Hearing Site: Richmond, VA
| | $0 |
| 11-00620 | 09/07/2012 | Claimant(s): Judith Keiffer, Sebert Keiffer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): William H. Malloy, David Edward Upton, Beverly F. Druitt
Hearing Site: Richmond, VA
| | $191,168 |
