| 18-02836 | 01/31/2019 | Claimant(s): Guarionex Berrido
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Nancy J. Cliff
Hearing Site: Miami, FL
| | |
| 16-02741 | 05/18/2018 | Claimant(s): Blanca Toledo de Moreda, The Estate of the Late Manuel A. Moreda
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Santander Securities LLC
Respondent Lawyers(s): Ana Margarita Rodriguez Rivera, Keith Olin
Arbitrator(s): Nancy J. Cliff, Sherry R. Wetsch, Jay B. Bachar
Hearing Site: San Juan, PR
|  | Expungement |
| 14-03376 | 08/09/2016 | Claimant(s): Central American Management, Ltd, Servicios Integrados en Pre-Neccesidad
Claimant Lawyers(s): Jorge A. Mestre, Vincent Schmeltz
Respondent(s): Vicente Ferrera Azarak, Global Investor Services, L.C.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Nancy J. Cliff, Theodore Roy Bayer
Hearing Site: Miami, FL
| | Expungement |
| 15-03191 | 08/09/2016 | Claimant(s): Paulette Thomas
Claimant Lawyers(s): David Neuman
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Nancy J. Cliff
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 12-03688 | 06/04/2015 | Claimant(s): Ortopedas Associados Del Oeste Retiremen
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Richard J. Kaplan, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | Expungement |
| 14-01023 | 05/11/2015 | Claimant(s): Rosemarie Cufalo
Claimant Lawyers(s): Rosemarie Cufalo
Respondent(s): Ramon Almonte
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
| | $0 |
| 12-03497 | 02/09/2015 | Claimant(s): Oriental Financial Services Corp.
Claimant Lawyers(s): Cassandra Voltaggio
Respondent(s): Jorge Maldonado
Respondent Lawyers(s): Eugenio C. Romero
Arbitrator(s): Nancy J. Cliff, Alberto G. Estrella, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | |
| 12-02543 | 06/17/2014 | Claimant(s): Jill Meyer, William Meyer, William G. Meyer, as Trustee
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Nancy J. Cliff, Gustavus L. Pearthree, Philip L. Manczak
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-03286 | 06/11/2014 | Claimant(s): Federico Hernandez
Claimant Lawyers(s): Harold D. Vicente
Respondent(s): UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Peter G. Neiman
Arbitrator(s): Nancy J. Cliff, Gerald Silverman, John H. Claudy
Hearing Site: San Juan, PR
| | |
| 13-03013 | 05/14/2014 | Claimant(s): David Lugo
Claimant Lawyers(s): Roberto Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Nancy J. Cliff, Jerrold Levine, John H. Claudy
Hearing Site: San Juan, PR
| | |
