| 20-03658 | 06/13/2022 | Claimant(s): Phyllis Raucher, Phyllis Raucher IRA, Raucher Family Trust
Claimant Lawyers(s): Robert Cornish
Respondent(s): Michael Ecker
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Elena G. Rodriguez, Mary C. Walsh, Timothy Wildman
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-02330 | 05/26/2022 | Claimant(s): David Rojas
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): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 21-02413 | 03/16/2022 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 21-00117 | 11/11/2021 | Claimant(s): Baerbel O'Haire
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 21-00736 | 10/26/2021 | Claimant(s): David Rojas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 20-03060 | 08/10/2021 | Claimant(s): Christopher McDowall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 20-02464 | 07/02/2021 | Claimant(s): David Weinstein
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 20-03124 | 06/14/2021 | Claimant(s): Thomas Conway
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 20-01450 | 06/04/2021 | Claimant(s): Leticia Santiago
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS International.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 20-00927 | 10/16/2020 | Claimant(s): Anita Brennan, Marina Tudela
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): Elena G. Rodriguez
Hearing Site: San Juan, PR
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