18-03389 | 09/17/2021 | Claimant(s): SunTrust Investment Services. Claimant Lawyers(s): Andrew Froman Respondent(s): Roberto 'Tucker' Lopez Respondent Lawyers(s): Roberto Tucker Maria Lopez Arbitrator(s): Seth L. Finkel Hearing Site: Miami, FL
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20-00858 | 03/15/2021 | Claimant(s): William Serralles 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): Seth L. Finkel Hearing Site: San Juan, PR
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20-02024 | 03/11/2021 | Claimant(s): JOHN SWAINE Claimant Lawyers(s): Robert W. Pearce Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
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19-01551 | 09/15/2020 | Claimant(s): Hilary L. Shane Revocable Trust Claimant Lawyers(s): Jo Ann Palchak Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Seth L. Finkel, Renaldy Jose Gutierrez, John B. Sochacki Hearing Site: Boca Raton, FL
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19-03718 | 09/03/2020 | Claimant(s): Gonzalo Castano Claimant Lawyers(s): Joelle A. Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Stuart T. Rebish Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
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19-02551 | 04/08/2020 | Claimant(s): Kirk Gravelle Claimant Lawyers(s): Nisha S. Wright Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Seth L. Finkel, Gregory S. Tendrich, Rosemarie Ann Jannuzzi Hearing Site: Boca Raton, FL
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19-00096 | 03/19/2020 | Claimant(s): William Elmore Claimant Lawyers(s): Harris M. Freedman Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Elizabeth Rose Aylett Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
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19-01576 | 02/19/2020 | Claimant(s): Dianne Townsend Claimant Lawyers(s): Harris Freedman Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Robert M. Rudnicki Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
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19-00730 | 11/13/2019 | Claimant(s): Carlos Pou 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): Seth L. Finkel Hearing Site: San Juan, PR
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19-01213 | 10/18/2019 | Claimant(s): Roberto De Desus Pou Claimant Lawyers(s): Linette Figueroa Torres Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Sonia M. Lopez del Valle Arbitrator(s): Seth L. Finkel Hearing Site: San Juan, PR
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