| 20-02555 | 12/28/2021 | Claimant(s): Cheryl E. Amyx Living Trust U/A 11/7/05
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Sheila D. Collins, Matthew Stephen Duchesne, Francis Henry Dong
Hearing Site: Washington, DC
|  | $299,899 |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 15-02205 | 05/25/2018 | Claimant(s): Amy Mader, Florencio Merced, Miguel Mader, Solimar Burgos
Claimant Lawyers(s): Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Donald F. Winningham, Guillermo J. Bobonis
Arbitrator(s): Monica I. Salis, Leonard Michael Cusano, Joseph Neal Richardson
Hearing Site: San Juan, PR
| | $609,500 |
| 15-02536 | 02/23/2018 | Claimant(s): Angel Cruz Colon, Betzaida Hernandez, Carmen Ortiz Nevarez, Hector Rodriguez-Lopez, Myrna Rivera Marengo, William Reyes
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati, Roberto C. Quinones-Rivera
Arbitrator(s): James L. Warren, Theodore Haynes, Carol Denise Phelps
Hearing Site: San Juan, PR
| | $521,075 |
| 17-00763 | 12/04/2017 | Claimant(s): Kyle Almond, Lynn Almond
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Edward Jones
Respondent Lawyers(s): Anitra T. Cassas
Arbitrator(s): Rochelle K. Kaplan, Tina E. Patterson, Carl F. Bowmer
Hearing Site: Richmond, VA
| | Dismissed by Rule 12206 |
| 15-02894 | 04/07/2017 | Claimant(s): Daniel Pesante Armstrong
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Alise J. Henry, Joelle A. Simms
Arbitrator(s): Richard S. Zaifert, Ian S. Greig, Michael I. Rauchway
Hearing Site: Tampa, FL
| | $425 |
| 15-02121 | 12/09/2016 | Claimant(s): Jose Fernandez, Marixa Hernandez
Claimant Lawyers(s): Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones
Arbitrator(s): Richard H. Potter, James L. Warren, Matthew Stephen Duchesne
Hearing Site: San Juan, PR
| | $391,476 |
| 16-01640 | 11/17/2016 | Claimant(s): Jane Schultz
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
| | $9,850 |
| 14-02197 | 09/11/2015 | Claimant(s): Ryan Williams, Sharon Johnson
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Fuad Ahmed, Jinesh Brahmbhatt, Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed, Jinesh P. Brahmbhatt
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
| | $400,300 |
| 13-03048 | 05/13/2015 | Claimant(s): Yolanda Bauza
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn
Hearing Site: Washington, DC
| | $200,000 |
