| 14-02207 | 07/15/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Monroe Mitchel, Michael D Felton, John H. Claudy
Hearing Site: Boca Raton, FL
| | |
| 13-00070 | 10/27/2014 | Claimant(s): Allen Pilnick
Claimant Lawyers(s): Allen A. Pilnick
Respondent(s): Joel Orris, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Steven Gerard Goerke, John H. Claudy, Allen Robin
Hearing Site: Boca Raton, FL
|  | $0 |
| 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
| | |
| 10-05741 | 04/01/2013 | Claimant(s): Oscar Ovalles
Claimant Lawyers(s): Gabriel Groisman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, John H. Claudy
Hearing Site: Miami, FL
| | Expungement |
| 11-03166 | 09/25/2012 | Claimant(s): Bernard Kaszovitz, Floradahl Sacks Trust
Claimant Lawyers(s): David H. Charlip, Stephen David Murakami
Respondent(s): Sean Clancy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Seth L. Finkel, John H. Claudy, Thomas Roy Spencer
Hearing Site: Miami, FL
| | Expungement |
| 10-02299 | 11/16/2011 | Claimant(s): Dramm.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Lewis J. Levey, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | Expungement |
| 09-06055 | 04/19/2011 | Claimant(s): Gary Hillert
Claimant Lawyers(s): Scott L. Silver
Respondent(s): The GMS Group
Respondent Lawyers(s): John E. Jenkins
Arbitrator(s): Frances D. Sheehy, John H. Claudy, Theodore Israel Herold
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04269 | 04/05/2011 | Claimant(s): Charlotte Leitner IRA, Lionel Leitner Revocable Trust, Lionel/Charlotte Leitner Family Trust, The Charlotte Lleitner Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Richard J. Kaplan, Michael J. Fingar, John H. Claudy
Hearing Site: Boca Raton, FL
| | Expungement |
| 08-03051 | 05/14/2010 | Claimant(s): Desa Trading Co.
Claimant Lawyers(s): Mark D. Hunter
Respondent(s): Carlos Garcia, Advanced Trading Services
Respondent Lawyers(s): Carlos Manuel Garcia
Arbitrator(s): Todd M. Saunders, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | $125,000 |
