| 20-03037 | 05/19/2021 | Claimant(s): Peter Nicoletti
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Morgan Stanley & Co., Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart, Trae D. Meyr
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 19-01321 | 02/11/2020 | Claimant(s): Henry Grinberg
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz, Timothy B. Atkins
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 18-03766 | 11/08/2019 | Claimant(s): John Kline
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc., Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill Clarke, Jonathan C. Schwartz
Arbitrator(s): Margaret Elizabeth Gee
Hearing Site: Raleigh, NC
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| 18-04182 | 08/19/2019 | Claimant(s): Brian Lawrence
Claimant Lawyers(s): John C. Anjier
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
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| 18-03196 | 06/20/2019 | Claimant(s): Thomas Zur
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Jonathan C. Schwartz
Arbitrator(s): Will Murphy
Hearing Site: Miami, FL
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| 18-02528 | 02/08/2019 | Claimant(s): Dale Grubb
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): William E. Schneider
Hearing Site: Orlando, FL
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| 17-03450 | 08/09/2018 | Claimant(s): Thomas Brandt
Claimant Lawyers(s): Eric Litow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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| 17-00853 | 02/12/2018 | Claimant(s): Craig Price
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Frederick P. Hartman, Richard W. Epstein, Gilbert A. Schnirman
Hearing Site: Boca Raton, FL
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| 16-02093 | 05/26/2017 | Claimant(s): Kurt Sylvia
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Karen Z. Fischer, Sandra J. Bakalus, Stephen Kahane
Hearing Site: Boca Raton, FL
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| 16-02666 | 05/03/2017 | Claimant(s): Joseph Piellucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz, Michael Naccarato
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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