| 16-01033 | 12/17/2021 | Claimant(s): Oriental Financial Services Corp.
Claimant Lawyers(s): Pedro Hernandez-Freire
Respondent(s): Jose Ortiz
Respondent Lawyers(s): Enrique J. Mendoza Sanchez
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 20-00275 | 10/29/2021 | Claimant(s): Michal Marczyk
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Lime Brokerage
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Seth L. Finkel, Justin M. Moore, Jeff Cappelletti
Hearing Site: Boca Raton, FL
|  | $0 |
| 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
| | Settlement |
| 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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