| 20-02360 | 07/05/2022 | Claimant(s): Alicia Barboza Urdaneta, Andreina Barboza Urdaneta, Neira Urdaneta De Barboza, Roberto Barboza Urdaneta
Claimant Lawyers(s): Andres Gamardo
Respondent(s): Wells Fargo Clearing Services, Jorge De Apodaca
Respondent Lawyers(s): Jeffery D. Rodgers, Michael Arias
Arbitrator(s): Michael Lau, Kevin A. Llinas, Richard S. Herman
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-00101 | 03/17/2022 | Claimant(s): William Valle
Claimant Lawyers(s): William Isaac Valle
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Ellen J. Abrams, Richard S. Herman, Krista Fanning Kersey
Hearing Site: Boca Raton, FL
| | |
| 14-02780 | 10/24/2017 | Claimant(s): Kwok Cheung
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Roger Lam
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy, Carolyn E. Moore, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-00893 | 10/11/2017 | Claimant(s): Matthew Shafer
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David G. Pittinos, Richard S. Herman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 13-03717 | 02/14/2017 | Claimant(s): The Fideicomiso Santa Barbara Trust
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Randi Perry Spallina, Ross Firsenbaum
Arbitrator(s): Jerrold Levine, Richard S. Herman, Carl Henry Perdue
Hearing Site: Miami, FL
| | $363,875 |
| 14-02634 | 11/16/2015 | Claimant(s): Harold Kornblum
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Carl Shechter, David Rich, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04751 | 04/12/2013 | Claimant(s): Robert Schneider
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Kenneth Hobbs, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Joseph L. Bernstein, Nancy J. Cliff, Richard S. Herman
Hearing Site: Miami, FL
| | $0 |
| 12-00569 | 02/06/2013 | Claimant(s): Richard Fisher
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Steven Gerard Goerke, Marc T. Danon, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 06-05156 | 04/02/2008 | Claimant(s): Carlos Robledo
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Jack Stein, Richard S. Herman, Marshall Scott Milinski
Hearing Site: Boca Raton, FL
| | $8,536 |
