| 12-01842 | 08/28/2013 | Claimant(s): International Alliance, C.V.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): James M. Scutti, Jeffrey R. Roth, Lawrence Goldberg
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-02794 | 01/17/2013 | Claimant(s): Inversiones Kaizen Ltd.
Claimant Lawyers(s): Jeffrey B Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): John J. Hearn, Jeffrey R. Roth, Stanley Zamor
Hearing Site: Miami, FL
| | Expungement |
| 10-05599 | 11/20/2012 | Claimant(s): Victor Graulau Colon, Victor Graulau Muenchow
Claimant Lawyers(s): Scott L Silver
Respondent(s): Popular Securities.
Respondent Lawyers(s): Roberto Quinones-Rivera
Arbitrator(s): Steven R. Reininger, Reinaldo Royo, Jeffrey R. Roth
Hearing Site: San Juan, PR
| | Expungement |
| 11-01520 | 06/15/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Gustavo Del Valle
Respondent Lawyers(s): Harold D. Vicente-Colon
Arbitrator(s): Reinaldo Royo, Kathryn M. Welsh, Jeffrey R. Roth
Hearing Site: San Juan, PR
| | |
| 10-03793 | 05/04/2012 | Claimant(s): Gerardo Gerson, Rivadavia S.A.
Claimant Lawyers(s): Quinn Smith
Respondent(s): UBS Financial Services Inc., Olga Pereira
Respondent Lawyers(s): Andrew Sidman, Jeffrey L. Bernfeld
Arbitrator(s): Jeffrey R. Roth, Renaldy Jose Gutierrez, Alisa Matire
Hearing Site: Miami, FL
| | $0 |
| 11-00793 | 04/05/2012 | Claimant(s): Elizabeth Dawson
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): Jeffrey R. Roth
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-01032 | 03/23/2012 | Claimant(s): Angel Delucca-Marrero
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., Ramon Almonte, UBS Financial Services Inc. of PR
Respondent Lawyers(s): Enrique G. Figueroa-Llinas, Guillermo J. Bobonis
Arbitrator(s): Roy B. Gonas, Todd M. Saunders, Jeffrey R. Roth
Hearing Site: San Juan, PR
| | Expungement |
| 12-00566 | 03/08/2012 | Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Justine Hurry, Scottsdale Capital Advisors Corp.
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Thomas Michael Dillon, Jeffrey R. Roth, Robert Charles Stamm
Hearing Site: Miami, FL
| | Expungement |
| 10-02299 | 11/16/2011 | Claimant(s): Dramm.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Lewis J. Levey, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | Expungement |
| 09-06757 | 07/06/2011 | Claimant(s): Stephen Miller and Dawn Miller
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joel Margolies, Jeffrey R. Roth, Theodore Israel Herold
Hearing Site: Miami, FL
| | Expungement |
