| 14-03289 | 03/23/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Thomas G. Draths
Respondent(s): Jose Riveron
Respondent Lawyers(s): Adis L. Riveron
Arbitrator(s): Marie G. Peterson
Hearing Site: Miami, FL
| | |
| 14-00966 | 02/19/2016 | Claimant(s): The Estate of Gabriel J. Cadenas
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Lawrence E. Fenster, Roberto Quinones
Arbitrator(s): Charles Hoffman, Marie G. Peterson, Brian P. Jakes
Hearing Site: San Juan, PR
|  | $0 |
| 14-02188 | 06/02/2015 | Claimant(s): John A. Imperato
Claimant Lawyers(s): John A. Imperato
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Marie G. Peterson, Philip L. Manczak, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $1,425 |
| 14-00373 | 05/04/2015 | Claimant(s): Alfred Phillips
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Marie G. Peterson, Allen Robin, Steven Robert Wiehe
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02913 | 11/04/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Burt
Respondent Lawyers(s): David B. Gordon
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, Sylvia D. Stiller
Hearing Site: Boca Raton, FL
| | |
| 13-00514 | 10/29/2014 | Claimant(s): H. Peter Petrosky
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Marie G. Peterson, Harold S. Stern, Jay Stewart Zeif
Hearing Site: Boca Raton, FL
| | |
| 13-03064 | 07/24/2014 | Claimant(s): Carole Heck
Claimant Lawyers(s): Carole Heck
Respondent(s): Raymond, James & Associates., Ruben Frezzotti
Respondent Lawyers(s): Kellis Hartsook
Arbitrator(s): Marie G. Peterson
Hearing Site: Miami, FL
| | $425 |
| 12-03711 | 12/20/2013 | Claimant(s): Barbara Gutman U/A/D 03-09-2000
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy Atkins
Arbitrator(s): Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-02715 | 12/04/2013 | Claimant(s): J Goldsmith, Katherine Goldsmith
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Monica I. Salis, Steven Ira Weinberger, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04660 | 07/03/2013 | Claimant(s): Anise Schneiderman, Lenore Tepper, Montana Queler
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): David Simon, UBS Financial Services Inc.
Respondent Lawyers(s): Daniel S. Newman, Rebecca E. Swenson
Arbitrator(s): Linda M. Granata, Marie G. Peterson, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
| | $0 |
