| 12-04159 | 05/01/2014 | Claimant(s): Ralph Bixler
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Catherine Santiago, Wells Fargo Advisors, Margarita Figueroa
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Barry David Thorpe
Hearing Site: San Juan, PR
|  | Expungement |
| 11-03450 | 04/17/2014 | Claimant(s): Louis Wolfson
Claimant Lawyers(s): Louis Wolfson
Respondent(s): Carmen Rodriguez Acevedo, Eduardo Pou Monagas, Marivelisse Diaz, Roberto Feria Cestero, Popular Securities., Santander Securities Corp.
Respondent Lawyers(s): A. Patricia Morales Christiansen, Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke, Michael Lau, Fredrick T.W. Reed
Hearing Site: San Juan, PR
| | $0 |
| 11-03929 | 03/04/2014 | Claimant(s): Andrew Miller
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gary M. Landau, Kathy N. Novick
Hearing Site: Ft. Lauderdale, FL
| | |
| 12-03042 | 01/30/2014 | Claimant(s): Joaquin Monserrate-Matienzo, Roxana Matienzo-Carrion
Claimant Lawyers(s): David R. Chase
Respondent(s): Popular Securities.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven Gerard Goerke, Michael Lau, Raymond W. Snow
Hearing Site: San Juan, PR
| | $0 |
| 12-01538 | 01/17/2014 | Claimant(s): Elliott Rosenzweig
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Steven Gerard Goerke, Richard W. Epstein, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-00422 | 11/13/2013 | Claimant(s): Randy Maslow
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Katherine M. Jensen
Arbitrator(s): Jack Stein, Steven Gerard Goerke, Richard Carl Smukler
Hearing Site: Boca Raton, FL
| | $0 |
| 13-01376 | 10/31/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Owen Parr
Respondent Lawyers(s): Owen G. Parr
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
| | |
| 13-00165 | 09/25/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Evelyn Correa
Respondent Lawyers(s): Evelyn Correa
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
| | |
| 11-03618 | 07/08/2013 | Claimant(s): Sandra Meisenzahl, Leonard B. Meisenzahl Trust, Sandra Meisenzahl Revocable Living Trust
Claimant Lawyers(s): W. Scott Turnbull
Respondent(s): Gerald Fasanella, Mutual Service Corporation, AIG Financial Advisors., Next Financial Group.
Respondent Lawyers(s): Craig A. Vollono, Fred N. Knopf, Marc S. Dobin, Peter B. King
Arbitrator(s): Steven Gerard Goerke, William Kent Brown, Lee Alan Rosenblum
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00038 | 07/05/2013 | Claimant(s): Fred Wang
Claimant Lawyers(s): Fred Simcha Wang
Respondent(s): UBS Fund Services (USA) LLC
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Christopher J. Klein
Hearing Site: San Juan, PR
| | Dismissed by Rule 12504 |
