| 17-01926 | 06/19/2020 | Claimant(s): Conchita Blondet, Lillian Blondet, Ricardo Blondet, Estate (Sucesion) of Juan H. Blondet
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Bernard A. Becker, Richard R. Logsdon, Kimberly A. Gilmour
Hearing Site: San Juan, PR
|  | Settlement |
| 19-01579 | 10/03/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Peter Ingraham
Respondent Lawyers(s): Peter J. Ingraham
Arbitrator(s): Bernard A. Becker
Hearing Site: Boca Raton, FL
| | |
| 19-01398 | 09/06/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Travis Chapin
Respondent(s): David Kraft
Respondent Lawyers(s): David Wayne Kraft
Arbitrator(s): Bernard A. Becker
Hearing Site: Boca Raton, FL
| | |
| 18-03374 | 04/24/2019 | Claimant(s): Herbert J. Sims & Co.
Claimant Lawyers(s): Enrique G. Figueroa-Llinas
Respondent(s): Jaime Sanchez Rivera
Respondent Lawyers(s): Jaime Isaac Sanchez Rivera
Arbitrator(s): Bernard A. Becker
Hearing Site: San Juan, PR
| | |
| 15-02330 | 03/28/2018 | Claimant(s): Ana Cadilla, Fideicomiso Arturo J. Cadilla
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Bernard A. Becker, Jane C. Carney, Marta A. Rivera Figueroa
Hearing Site: San Juan, PR
| | $250,000 |
| 16-01609 | 12/06/2016 | Claimant(s): Mariann Cole
Claimant Lawyers(s): Mariann Cole
Respondent(s): Jason Oestreicher, VALIC Financial Advisors.
Respondent Lawyers(s): Stephanie H. Massey
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
| | $6,000 |
| 16-00588 | 09/15/2016 | Claimant(s): Eilat Worldwide Invest Ltd.
Claimant Lawyers(s): Barry R. Fischer
Respondent(s): Edouard Crepy, Morgan Stanley
Respondent Lawyers(s): Lauren R. Whetstone
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
| | Expungement |
| 15-01662 | 03/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): AXA Advisors
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Bernard A. Becker
Hearing Site: San Juan, PR
| | |
| 15-00307 | 03/11/2016 | Claimant(s): RS International Group Limited
Claimant Lawyers(s): Brian Levin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Bernard A. Becker, Gerald H. Grayson, Theodore Roy Bayer
Hearing Site: Miami, FL
| | $0 |
| 14-01649 | 12/18/2015 | Claimant(s): Luis Roldan Caraballo, Luis Roldan Caraballo IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bernard A. Becker, Lawrence Zenville Rosenberg, Carl Henry Perdue
Hearing Site: Miami, FL
| | $1,373,930 |
