| 19-03716 | 09/01/2020 | Claimant(s): Miguel Carrillo
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 19-01381 | 03/03/2020 | Claimant(s): Jordan Waring
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gruntal & Co., L.L.C.
Respondent Lawyers(s): Gruntal & Co., L.L.C. Registered Agent
Arbitrator(s): Elena G. Rodriguez
Hearing Site: New York, NY
| | |
| 19-01996 | 02/14/2020 | Claimant(s): Mary-Lee Widder
Claimant Lawyers(s): Jessica Calloway
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 17-03412 | 11/07/2019 | Claimant(s): Lawrence Freedman, Mary Freedman
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Amy S. Rubin
Arbitrator(s): Elena G. Rodriguez, Peter A. Roche, Gary Mathew Singer
Hearing Site: Boca Raton, FL
|  | $0 |
| 19-00378 | 09/24/2019 | Claimant(s): David Rojas
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 19-00160 | 09/11/2019 | Claimant(s): Riad Shanawany
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 19-00366 | 07/23/2019 | Claimant(s): Alfonso Boneta
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 18-02769 | 07/16/2019 | Claimant(s): Robert Sklar
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): James K. Langdon, Trae D. Meyr
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 17-00887 | 06/24/2019 | Claimant(s): Paul Schneider
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Elena G. Rodriguez, Will Murphy, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
| | $94,000 |
| 18-03867 | 06/07/2019 | Claimant(s): Beverly Assmar, Richard Assmar, Beverly Assmar Selectrust U/A 12/18/2012, Richard Assmar Selectrust U/A 12/18/2012
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Comerica Securities.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Elena G. Rodriguez, Christopher J. Klein, Peter A. Roche
Hearing Site: Miami, FL
| | Dismissed by Rule 12206/12504 |
