| 11-02072 | 06/05/2012 | Claimant(s): Benito Figueras, Clara Fernandez De La Lastra
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): UBS Financial Services Inc. of PR
Respondent Lawyers(s): Guillermo J. Bobonis
Arbitrator(s): Seth L. Finkel, Fredrick T.W. Reed, Robert G. Falbisaner
Hearing Site: San Juan, PR
|  | $522,961 |
| 10-03425 | 02/14/2012 | Claimant(s): Francis Hempfling
Claimant Lawyers(s): Layne Verebay
Respondent(s): Wachovia Securities, Eric Nilson
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Janet N. Smiles, Sydney E. Blum
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-00828 | 01/19/2012 | Claimant(s): Eduardo Morkunas
Claimant Lawyers(s): Eduardo Morkunas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): William McCourt Schmitt
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | Expungement |
| 10-04227 | 11/23/2011 | Claimant(s): Robert Zveibil, Illuminated Solutions.
Claimant Lawyers(s): David M. Shenkman
Respondent(s): Banc of America Investment Services
Respondent Lawyers(s): Martin B. Woods
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Jonathan H. Parker
Hearing Site: Miami, FL
| | $0 |
| 10-02976 | 06/21/2011 | Claimant(s): Bernard Moskowitz
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Jack Patterson, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Bullington, Russell C. Weigel
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | Expungement |
| 08-04804 | 11/08/2010 | Claimant(s): Liat Toledano, Yizhak Toledano, Yizhak Toledano Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Seth L. Finkel, Thomas Czinner, Barry David Thorpe, Nanci Sondra Landy, Lee Alan Rosenblum, Harold S. Stern
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 10-02098 | 10/20/2010 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Dean Holloway
Respondent Lawyers(s): Dean Loughin Holloway
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
| 09-00355 | 01/04/2010 | Claimant(s): Robert Kelly
Claimant Lawyers(s): Robert J. Kelly
Respondent(s): Titus & Donnelly LLC
Respondent Lawyers(s): John G. Kimberlin
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
| 08-01600 | 08/06/2009 | Claimant(s): James Bach, James Bach Rev. Living Trust UAD 11/4/93
Claimant Lawyers(s): Steve J. Gard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): George R. Canty, Seth L. Finkel, Andrew David Kahng
Hearing Site: Miami, FL
| | $250,000 |
| 08-02712 | 03/10/2009 | Claimant(s): Matthew Pawlik
Claimant Lawyers(s): Matthew E Pawlik
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai Klaassen
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | $0 |
