| 22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
|  | Withdrawn |
| 20-01504 | 10/18/2022 | Claimant(s): Stephen Zaminski
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Karen J. Orlin, Albert Rizzo, Qiana Martin
Hearing Site: New York, NY
| | $0 |
| 20-03978 | 06/28/2022 | Claimant(s): Jeff and Karen Misner Revocable Trust
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): J.G. Long, Thomas James Hirsch, Jeffrey Alperin
Hearing Site: Atlanta, GA
| | $1,342,120 |
| 20-03990 | 06/06/2022 | Claimant(s): Pamela McCormick, Rick McCormick, The Lindsay McCormick 2013 Gift Trust
Claimant Lawyers(s): Jeffrey Erez, Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Robert B. Hansohn, Anita Teresa Hayden, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | $1,181,720 |
| 20-03835 | 12/02/2021 | Claimant(s): Nathan Ritzer
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Sylvia Kaminsky, Bryan David Glass, Jay Alan Kranis
Hearing Site: Jersey City, NJ
| | Expungement |
| 18-00048 | 01/21/2021 | Claimant(s): Ann Tutundjian, John Mugan, Susan Tutundjian-Mugan
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Meah Rothman Tell, Richard W. Epstein, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-00330 | 04/19/2019 | Claimant(s): The Jean Saunders Trust, The Stephen Saunders Trust
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Linda M. Foster-Wells, Sonja Shuford, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03237 | 02/07/2019 | Claimant(s): Jose Diaz Velarde, Sara San Martin
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Monica I. Salis, James Casimir Casey
Hearing Site: Miami, FL
| | Expungement |
| 15-03264 | 10/29/2018 | Claimant(s): Jose Pastrana
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones, Sean J. Coughlin
Arbitrator(s): Myron E. Levenson, Matthew Reid Krell, Robert Eugene Doyle
Hearing Site: San Juan, PR
| | $564,560 |
| 14-01936 | 03/06/2017 | Claimant(s): Luis Gil-Quintero, Miriam Falero-Gil
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, James F. Major, Debra Black Leo
Hearing Site: San Juan, PR
| | $0 |
