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ROMAN v. UBS FINANCIAL SERVICES, INC. OF PUERTO RICO

Civil No. 12-1663CCC.

CARMELO ROMAN, RICARDO ROMAN-RIVERA and SDM HOLDINGS, INC., individually and on behalf of all others similarly situated Plaintiffs, v. UBS FINANCIAL SERVICES, INC. OF PUERTO RICO; UBS TRUST COMPANY OF PUERTO RICO; PUERTO RICO INVESTORS TAX-FREE FUND IV, INC.; PUERTO RICO FIXED INCOME FUND III, INC.; PUERTO RICO FIXED INCOME FUND V, INC.; PUERTO RICO INVESTORS BOND FUND I, INC.; PUERTO RICO AAA PORTFOLIO BOND FUND, INC.; PUERTO RICO AAA PORTFOLIO BOND FUND II, INC.; MIGUEL A. FERRER; CARLOS J. ORTIZ Defendants.

United States District Court, D. Puerto Rico.

August 21, 2017.

Editors Note
Applicable Law: 15 U.S.C. § 78m(a)
Cause: 15 U.S.C. § 78m(a) Securities Exchange Act
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

Carmelo Roman, Plaintiff, represented by Amanda F. Lawrence , Scott & Scott LLP, pro hac vice.

Carmelo Roman, Plaintiff, represented by David R. Scott , Scott & Scott LLP, pro hac vice, Eric M. Quetglas-Jordan , Quetglas Law Office PSC, Hector E. Pedrosa-Luna , The Law Offices of Hector E. Pedrosa-Luna, Jennie M. Espada-Ocasio , Espada Esquire Legal Services Psc, Joseph P. Guglielmo , Scott & Scott, LLP, pro hac vice, Juan R. Requena-Davila , Andrea Farah , Scott Scott, Attorneys at Law, LLP, pro hac vice, Beth A. Kaswan , Scott Scott, Attorneys at Law, LLP, pro hac vice, Richard P. Rouco , Quinn, Connor, Weaver, Davies & Rouco, pro hac vice & Luis E. Minana , Luis E. Minana & Associates.

Ricardo Roman-Rivera, Plaintiff, represented by Amanda F. Lawrence , Scott & Scott LLP, pro hac vice, David R. Scott , Scott & Scott LLP, pro hac vice, Eric M. Quetglas-Jordan , Quetglas Law Office PSC, Hector E. Pedrosa-Luna , The Law Offices of Hector E. Pedrosa-Luna, Jennie M. Espada-Ocasio , Espada Esquire Legal Services Psc, Joseph P. Guglielmo , Scott & Scott, LLP, pro hac vice, Juan R. Requena-Davila , Andrea Farah , Scott Scott, Attorneys at Law, LLP, pro hac vice, Beth A. Kaswan , Scott Scott, Attorneys at Law, LLP, pro hac vice, Richard P. Rouco , Quinn, Connor, Weaver, Davies & Rouco, pro hac vice & Luis E. Minana , Luis E. Minana & Associates.

SDM Holdings, Inc., Plaintiff, represented by Amanda F. Lawrence , Scott & Scott LLP, Eric M. Quetglas-Jordan , Quetglas Law Office PSC, Hector E. Pedrosa-Luna , The Law Offices of Hector E. Pedrosa-Luna, Jennie M. Espada-Ocasio , Espada Esquire Legal Services Psc, Juan R. Requena-Davila , Andrea Farah , Scott Scott, Attorneys at Law, LLP, pro hac vice, Beth A. Kaswan , Scott Scott, Attorneys at Law, LLP, pro hac vice, Richard P. Rouco , Quinn, Connor, Weaver, Davies & Rouco, pro hac vice & Luis E. Minana , Luis E. Minana & Associates.

UBS Trust Company of Puerto Rico, Defendant, represented by Mauricio O. Muniz-Luciano , O'Neill & Borges, Nicole A. DiSalvo , Skadden, ARPS, Slate, Meagher & Flom LLP, pro hac vice, Paul J. Lockwood , Skadden, Arps, Slate, Meagher & Flom LLP, pro hac vice, Ubaldo M. Fernandez-Barrera , O'Neill & Borges & Salvador J. Antonetti-Stutts , O'Neill & Borges.

Puerto Rico Fixed Income Fund III, Inc., Defendant, represented by Eduardo A. Zayas-Marxuach , McConnell Valdes, LLC & Roberto C. Quinones-Rivera , McConnell Valdes, LLC.

Puerto Rico Fixed Income V, Inc., Defendant, represented by Eduardo A. Zayas-Marxuach , McConnell Valdes, LLC & Roberto C. Quinones-Rivera , McConnell Valdes, LLC.

UBS Financial Services, Inc., Defendant, represented by Nicole A. DiSalvo , Skadden, ARPS, Slate, Meagher & Flom LLP, pro hac vice, Paul J. Lockwood , Skadden, Arps, Slate, Meagher & Flom LLP, pro hac vice, Ubaldo M. Fernandez-Barrera , O'Neill & Borges, Salvador J. Antonetti-Stutts , O'Neill & Borges & Mauricio O. Muniz-Luciano , O'Neill & Borges.

UBS Trust Company of Puerto Rico, Consol Defendant, represented by Paul J. Lockwood , Skadden, Arps, Slate, Meagher & Flom LLP, pro hac vice & Salvador J. Antonetti-Stutts , O'Neill & Borges.

Puerto Rico Fixed Income Fund, Inc. III, Consol Defendant, represented by Eduardo A. Zayas-Marxuach , McConnell Valdes, LLC, Roberto C. Quinones-Rivera , McConnell Valdes, LLC & Amelia Cristina O'Neill-Vega , McConnell Valdes, LLC.

Puerto Rico Fixed Income Fund, Inc. V, Consol Defendant, represented by Eduardo A. Zayas-Marxuach , McConnell Valdes, LLC, Roberto C. Quinones-Rivera , McConnell Valdes, LLC & Amelia Cristina O'Neill-Vega , McConnell Valdes, LLC.

OPINION AND ORDER

Plaintiffs Carmelo Román, Ricardo Román-Rivera and SDM Holdings, Inc., individually and on behalf of all others similarly situated, filed on August 13, 2012, this action (d.e. 1)1 typified as a `Class Action Complaint' and included 10 defendants...

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