| 19-00479 | 10/16/2019 | Claimant(s): Stephen Sullivan
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | |
| 19-01062 | 09/25/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Nicholas Giambri
Respondent Lawyers(s): Nicholas Anthony Giambri
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | |
| 18-03001 | 04/17/2019 | 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): Isabel Torres-Sastre
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
| | |
| 16-00880 | 01/07/2019 | Claimant(s): Manuel Ojeda, Professional Equipment Corp.
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones, Sean J. Coughlin
Arbitrator(s): Seth L. Finkel, Will Murphy, Thomas Richard Blake
Hearing Site: San Juan, PR
|  | Expungement |
| 17-03473 | 08/06/2018 | Claimant(s): Clara Fernandez Colorado
Claimant Lawyers(s): Pedro Hernandez Freire
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Sonia Marbarak
Arbitrator(s): Seth L. Finkel, Roberto Olson Cortes, Ricardo Aponte-Parsi
Hearing Site: San Juan, PR
| | |
| 16-03270 | 03/08/2018 | Claimant(s): Elvira Martinez Manso, Harry Pelaez, Encody.
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Seth L. Finkel, Jan Glenn Valecka, Matthew Stephen Duchesne
Hearing Site: San Juan, PR
| | $253,256 |
| 14-00575 | 03/21/2017 | Claimant(s): Steven Santagati
Claimant Lawyers(s): John Veach
Respondent(s): Dawn Bennett, Bennett Group Financial Services, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Monica I. Salis, Seth L. Finkel, C. Richard Mancini
Hearing Site: Miami, FL
| | $1,042,770 |
| 15-00097 | 06/22/2016 | Claimant(s): John McNicholas, Natalie Illig McNicholas
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | Expungement |
| 15-01887 | 02/18/2016 | Claimant(s): Ioana Cioc
Claimant Lawyers(s): Mark David Hunter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Bury
Arbitrator(s): Steven N. Ainbinder, Seth L. Finkel, Kathy N. Novick
Hearing Site: Miami, FL
| | |
| 14-03227 | 11/05/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Kenneth Ray Noble
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
