| 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
| | |
| 14-03006 | 07/15/2015 | Claimant(s): Lourdes Santiuste
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Bruce Zipper, Christopher Mcnamee, Dakota Securities International.
Respondent Lawyers(s): Bruce Martin Zipper, Bruce Zipper
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
|  | Stipulated Award |
| 14-00668 | 03/18/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Patrick Mcgrath
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
| 13-03496 | 03/02/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Gustavo Mattei Zapata
Respondent Lawyers(s): Gustavo Miguel Mattei Zapata
Arbitrator(s): Seth L. Finkel, Guillermo A. Gleizer, Howard B. Scherer
Hearing Site: San Juan, PR
| | |
| 12-02755 | 07/17/2014 | Claimant(s): Alberto Herz, Rosa Benedetti, Rosalba Capital, LTD
Claimant Lawyers(s): Lance C. Arney
Respondent(s): Javier Naselli, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Seth L. Finkel, Michael P. Schiff, Harry Albirt
Hearing Site: Miami, FL
| | Expungement |
| 12-00725 | 09/06/2013 | Claimant(s): Genaro Mojica Negron, Luz Avila Jimenez
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Roberto Rivera Vazquez, Popular Securities.
Respondent Lawyers(s): Nestor M. Mendez, Sara L. Velez-Santiago
Arbitrator(s): Steven M. Greenbaum, Seth L. Finkel, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $0 |
| 12-00844 | 08/05/2013 | Claimant(s): Ruvim London
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Seth L. Finkel, Warren D. Brown, Guillermo A. Gleizer
Hearing Site: Miami, FL
| | Expungement |
| 12-02819 | 05/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Anthony Garcia
Respondent Lawyers(s): Anthony J. Garcia
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
| 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 |
