| 12-04356 | 04/14/2014 | Claimant(s): David Lugo
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Martin A. Feigenbaum, Gerald Silverman, Michael E. Pearson
Hearing Site: San Juan, PR
| | |
| 12-01581 | 02/26/2014 | Claimant(s): Robert Hile, Robert W. Hile, as a JTWROS w/ C.L. Hile
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Karen Z. Fischer, Gerald Silverman, Kimberly A. Gilmour
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 11-00824 | 02/13/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Winston De Feria
Respondent Lawyers(s): Winston H. De Feria
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 12-00790 | 09/25/2013 | Claimant(s): Amira Kuri, Mariano Gonzalezoracion Industrial Gargonz SA DE CV
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Atlas One Financial Group
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joseph L. Bernstein, Nancy J. Cliff, Gerald Silverman
Hearing Site: Miami, FL
| | $73,764 |
| 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 |
| 12-02626 | 07/24/2013 | Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
| | $56,625 |
| 12-03633 | 05/03/2013 | Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quiones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorporated,PR
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Gerald Silverman, Stuart K. Furman, Robert Charles Stamm
Hearing Site: San Juan, PR
| | |
| 10-04227 | 11/23/2011 | Claimant(s): Robert Zveibil, Illuminated Solutions.
Claimant Lawyers(s): David M. Shenkman
Respondent(s): Banc of America Investment Services
Respondent Lawyers(s): Martin B. Woods
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Jonathan H. Parker
Hearing Site: Miami, FL
| | $0 |
| 08-01962 | 06/04/2010 | Claimant(s): Edith Vogelhut
Claimant Lawyers(s): Robert J. Hanreck
Respondent(s): Leslie Posner, Martin Posner, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank & Trust Co., FSB
Respondent Lawyers(s): A. Patricia Christiansen, Jonathan A. Azrael, Martin Posner
Arbitrator(s): Stuart M. Rapee, Gerald Silverman, James Conrad Sankpill
Hearing Site: Miami, FL
| | $0 |
| 06-04367 | 11/13/2007 | Claimant(s): Charlotte Bluestein, Edward Bluestein, CHARED
Claimant Lawyers(s): Edward Bluestein
Respondent(s): Terra Nova Trading, L.L.C.
Respondent Lawyers(s): Christian T. Kemnitz
Arbitrator(s): Bruce N. Sankin, Gerald Silverman, Tamra H. Sheffman
Hearing Site: Boca Raton, FL
| | $0 |
