| 20-02993 | 02/06/2023 | Claimant(s): John Orlando
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Blake Levy, Joseph Alagna, Stephan Stein, Joseph Gunnar & Co.
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Randy R Freedman, Jeffrey R. Roth, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | |
| 14-00259 | 10/12/2017 | Claimant(s): Charles Wallace
Claimant Lawyers(s): Marguerite C. Snyder
Respondent(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Steven Gerard Goerke, Jeffrey R. Roth, Michael S. Kozlow
Hearing Site: Miami, FL
| | |
| 16-02067 | 05/04/2017 | Claimant(s): Jonathon Jay Marks, Suzana Rockwell Marks
Claimant Lawyers(s): Jonathon Jay Marks, Suzana Rockwell Marks
Respondent(s): Morgan Stanley, Lewis Robinson
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): James D. McDonald, Jeffrey R. Roth, Victoria G.A. Willingham
Hearing Site: Ft. Lauderdale, FL
|  | $29,360 |
| 16-01300 | 02/21/2017 | Claimant(s): Norcell McRay
Claimant Lawyers(s): Norcell McRay
Respondent(s): Devon Mclean, Everett Walker
Respondent Lawyers(s): Devon Coulin Mclean, Everett Scoville Walker
Arbitrator(s): Jeffrey R. Roth
Hearing Site: Miami, FL
| | $35,000 |
| 13-02866 | 01/11/2017 | Claimant(s): Madeline Gomez-Horta, Socorro Horta, Victor Gomez, Inversiones VM Gomez
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Jose Ramirez, UBS Financial Services Inc., UBS Financial Services Inc Puerto Rico
Respondent Lawyers(s): Guillermo Ramos Luina, Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): S. William Gersten, Jeffrey R. Roth, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | $18,214,900 |
| 14-01578 | 11/24/2015 | Claimant(s): Santander Securities LLC
Claimant Lawyers(s): Carlos George
Respondent(s): David Garcia Cirilo
Respondent Lawyers(s): Enrique Figueroa
Arbitrator(s): Randy R. Freedman, Jeffrey R. Roth, Roberto Olson Cortes
Hearing Site: San Juan, PR
| | |
| 11-04237 | 10/13/2014 | Claimant(s): James Mahan
Claimant Lawyers(s): Sean C. Domnick
Respondent(s): Banc of America Investment Services, Bank of America, N.A.
Respondent Lawyers(s): Gregory J Trask, Peter W. Homer
Arbitrator(s): Jonathan H. Parker, Jeffrey R. Roth, Shobha Bangalore Nagaprasanna
Hearing Site: Miami, FL
| | $0 |
| 11-04800 | 08/25/2014 | Claimant(s): Edward Chiappara
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Trust Company, N.A.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Melanie S. Cherdack, Marie Paulette Levine, Jeffrey R. Roth
Hearing Site: Miami, FL
| | |
| 11-01031 | 07/02/2014 | Claimant(s): Ramon Ramirez, Sylvia Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Citigroup Global Markets., Popular Securities.
Respondent Lawyers(s): Jason S Haselkorn, Roberto C. Quinones-Rivera
Arbitrator(s): Charles Hoffman, Stuart K. Furman, Jeffrey R. Roth
Hearing Site: San Juan, PR
| | Expungement |
| 11-02601 | 12/30/2013 | Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Laurence Briggs, Lawrence Kirshbaum, Timothy Gautney, William Chapman, Alexander Capital Markets, Alexander Financial, Aura Financial Services., Investin Securities Corp., Prestige Financial Center.
Respondent Lawyers(s): Laurence Briggs, Lawrence Kirshbaum, Legal Department, Timothy Gautney, William Chapman
Arbitrator(s): Jeffrey R. Roth, Louis David Huss, Robert Charles Stamm
Hearing Site: Miami, FL
| | $1,722,330 |
