| 22-00183 | 06/08/2022 | Claimant(s): Robert Fleming
Claimant Lawyers(s): Robert A. Fleming
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
|  | $6,288 |
| 21-02982 | 03/04/2022 | Claimant(s): Carlos Vargas
Claimant Lawyers(s): Thomas McHugh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 21-01937 | 02/11/2022 | Claimant(s): Eduardo Caban Silva
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 20-02397 | 01/11/2022 | Claimant(s): Amended and Restated Julian I. Stoopler
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Gerald Silverman, Sue Ellen D'Arcangelo, Michael Bracchi
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-00637 | 11/17/2021 | Claimant(s): Linda Stack
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Gary M. Landau, Gerald Silverman, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-02248 | 03/09/2021 | Claimant(s): Karen Vargas
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 20-02742 | 02/19/2021 | Claimant(s): Jeffrey Rodriguez-Aponte
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 19-01917 | 03/09/2020 | Claimant(s): William Gruntler
Claimant Lawyers(s): Harris Freedman
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 19-01215 | 10/02/2019 | Claimant(s): Francisco Landivar
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): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 19-00291 | 07/16/2019 | Claimant(s): Gloria Martinez Torres, Julio Cay Montanez
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Roberto C. Quinones-Rivera
Arbitrator(s): Wayne Parker, Gerald Silverman, Virginia Lee Perez
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206/12504 |
