22-02054 | 04/06/2023 | Claimant(s): John Redhead Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Maurice M. Feller, Howard B. Scherer, Karl A. Vogeler Hearing Site: Tampa, FL
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20-02518 | 02/26/2021 | Claimant(s): David Bennett Claimant Lawyers(s): Elaine M. Rice Respondent(s): Fifth Third Securities. Respondent Lawyers(s): Robert M. Zimmerman Arbitrator(s): Joel F. Martineau, Thomas J. Patka, Howard B. Scherer Hearing Site: Tampa, FL
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19-01630 | 02/22/2021 | Claimant(s): Manuel Diaz Claimant Lawyers(s): Luis E. Minana Respondent(s): National Financial Services LLC Respondent Lawyers(s): Carlos Bobonis-Gonzalez Arbitrator(s): Gloria O. North, Howard B. Scherer, Brian James Tagtmeier Hearing Site: San Juan, PR
| | Dismissed by Rule 12206(a) |
15-01971 | 09/10/2015 | Claimant(s): Francisco Ramis Galdo, Ines Rivero de Ramis, Conjugal Partnership Constituted by Them Claimant Lawyers(s): Francisco Pujol Respondent(s): Carlos Freire, Carlos Ubinas Taylor, Doel Garciaromero Respondent Lawyers(s): Ana M. Rodriguez-Rivera, Heriberto Lopez, Mauricio O. Muniz-Luciano Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Howard B. Scherer Hearing Site: San Juan, PR
| | Expungement |
13-03062 | 07/28/2015 | Claimant(s): Francisco Ramis Galdo, Ines Rivero de Ramis, Conjugal Partnership Constituted by Them Claimant Lawyers(s): Francisco Pujol, Frank A. Dalmau Gomez, Jose Luis Gonzalez Castaner Respondent(s): Jose Ramirez, UBS Financial Services Inc., UBS Financial Services of Puerto Rico Respondent Lawyers(s): Guillermo Ramos Luina, Patrick Mair, Roberto C. Quinones-Rivera Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Howard B. Scherer Hearing Site: San Juan, PR
| | $250,600 |
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
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10-01484 | 07/07/2011 | Claimant(s): O. Robert Marino & Linda Marino Claimant Lawyers(s): Henry I. Pass Respondent(s): Klaus Miller, Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., The Hoey Group Respondent Lawyers(s): Joshua D. Jones Arbitrator(s): Rafael A. Porrata-Doria, John J. Jordan, Howard B. Scherer Hearing Site: Philadelphia, PA
| | Expungement |
08-04609 | 03/23/2010 | Claimant(s): Jan Carr Claimant Lawyers(s): Anthony B. Haller Respondent(s): Uvest Financial Services Group. Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Elliot B. Platt, John L. Braxton, Howard B. Scherer Hearing Site: Philadelphia, PA
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08-04434 | 10/28/2009 | Claimant(s): A. Bauhaus Claimant Lawyers(s): Debra M. Brown Respondent(s): Adam Goldman, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): Harold P. Starr, James Fruehling, Howard B. Scherer Hearing Site: Philadelphia, PA
| | $0 |
07-01842 | 05/06/2009 | Claimant(s): Ryan Beck & Co. Claimant Lawyers(s): Jeffrey C. Primiano Respondent(s): Gennaro Vuono, William Bucci Respondent Lawyers(s): John N. Salla Arbitrator(s): Richard A. Purkiss, Andrew W. Davitt, Howard B. Scherer Hearing Site: Philadelphia, PA
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