12-04171 | 07/02/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Carolyn LaMar Respondent(s): David Kuffner Respondent Lawyers(s): David G. Kuffner Arbitrator(s): Steven Gerard Goerke Hearing Site: Ft. Lauderdale, FL
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12-00187 | 06/14/2013 | Claimant(s): Henry Hansen, Henry F. Hansen, IRA Claimant Lawyers(s): D. Daxton White Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Randi Perry Spallina Arbitrator(s): Steven Gerard Goerke Hearing Site: Boca Raton, FL
| | Expungement |
12-01118 | 05/06/2013 | Claimant(s): Dawn Bortman Claimant Lawyers(s): Christopher J. Gray Respondent(s): Henry Lucander Respondent Lawyers(s): Henry Lucander Arbitrator(s): Steven Gerard Goerke, Dennis M. Ross, Robert S. Shuster Hearing Site: Boca Raton, FL
| | $110,250 |
12-03432 | 02/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Glenn Berger Respondent(s): David Price Respondent Lawyers(s): David Craig Price Arbitrator(s): Steven Gerard Goerke Hearing Site: Ft. Lauderdale, FL
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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 |
10-05365 | 01/28/2013 | Claimant(s): Lueny Bobadilla, Waldemar Ramirez Claimant Lawyers(s): Scott L. Silver Respondent(s): UBS Financial Services Inc., Santander Securities Respondent Lawyers(s): Richard L. Martens, Roberto C. Quinones-Rivera Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Charles Hoffman Hearing Site: San Juan, PR
| | Expungement |
11-01901 | 11/30/2012 | Claimant(s): Henry Weiss Claimant Lawyers(s): Adam J. Gana Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Steven Gerard Goerke, Jill Pilgrim, Marie G. Peterson Hearing Site: Ft. Lauderdale, FL
| | Expungement |
11-02296 | 09/07/2012 | Claimant(s): Popular Securities. Claimant Lawyers(s): Alan M. Wolper Respondent(s): Francisco De Torres Highley Respondent Lawyers(s): Harold D. Vincente-Colon Arbitrator(s): Steven Gerard Goerke, Michael E. Pearson, Ivy Robin Ginsberg Hearing Site: San Juan, PR
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11-02033 | 08/30/2012 | Claimant(s): Jeannette Rosales Claimant Lawyers(s): Harold D. Vicente-Colon Respondent(s): Santander Securities Respondent Lawyers(s): Massiel Bermudez Rios Arbitrator(s): Steven Gerard Goerke, David P. Slater, Daniel P. Lund Hearing Site: San Juan, PR
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11-02520 | 07/09/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Sara Soto Respondent(s): Gustavo Mattei Respondent Lawyers(s): Francisco Pujol Arbitrator(s): Steven Gerard Goerke, Christopher J. Klein, Thomas R. Noonan Hearing Site: San Juan, PR
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