18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia Claimant Lawyers(s): Walter J. Mathews Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney Hearing Site: San Juan, PR
| | Settlement |
12-00584 | 09/05/2013 | Claimant(s): The Odessa Firemen's Relief & Retiremen Claimant Lawyers(s): Joe Wojciechowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Peter Fruin Arbitrator(s): Harry J Saginaw, Don G Miller, Douglas Wade Carvell Hearing Site: Dallas, TX
| | $399,566 |
09-03013 | 05/19/2010 | Claimant(s): Arthur Lang, Deborah Lang Claimant Lawyers(s): Mark J. Krudys Respondent(s): Wachovia Securities Respondent Lawyers(s): Peter Fruin Arbitrator(s): David Edward Upton, Wesley C. Wilson, Michael J. Pasquale Hearing Site: Richmond, VA
| | $276,844 |