| 22-02026 | 09/30/2024 | Claimant(s): Carol Chaney, E. Chaney, Chaney Family Partnership, Ltd.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Andrea Joan Douglas, Allan R. Lazor, Joshua Charles Nelson-Archer
Hearing Site: Houston, TX
|  | Expungement |
| 22-01490 | 09/06/2024 | Claimant(s): Alan Bulotsky, Deluvina Lopez, George Wilson, Janice Almeleh, Jean Wilson, Toby Bulotsky, Grace Lutheran Church of Grace Lutheran, George Wilson IRA, Jean Wilson IRA, Toby D. Bulotsky Trust
Claimant Lawyers(s): Adam Gana
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Randy R. Maher, Janice L. Sperow, Helen W. Kinnaird
Hearing Site: San Diego, CA
| | $1,148,130 |
| 22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Lawyers(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 22-01908 | 11/06/2023 | Claimant(s): Janice Mecca, Laurence Brown, Robert Mecca, Brown Family Maintenance Trust, Brown Revocable Trust, Donald M Brown Income Provider Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Andrea J. Goldman, Peter M Cosel, Stephen James McLaughlin
Hearing Site: Boston, MA
| | $246,114 |
| 22-01761 | 09/15/2023 | Claimant(s): The Reed Family Trust
Claimant Lawyers(s): Jorge Altamirano
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 21-01584 | 04/06/2023 | Claimant(s): Peal Partners, Ltd., Stanley Peal Irrevocable Trust
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): Nancy J. Cliff, Will Murphy, Alisa Matire
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-04126 | 08/16/2022 | Claimant(s): Maria Fernbach
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Charles Schwab & Co.., Pinnacle Associates, Ltd.
Respondent Lawyers(s): Gilbert R. Serota, James Nealon
Arbitrator(s): Paul C. Kurland, Kevin F. Cuddihy, Kenneth Brown
Hearing Site: New York, NY
| | $1,177,150 |
| 20-00065 | 03/17/2022 | Claimant(s): Alice Warsinske, Christopher Morris, Daryl Morris, Peter Warsinske, Sidney Warsinke, Nancy Ketchum Warsinske Trust
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Gregory Berlacher, Emerging Growth Equities, Ltd.
Respondent Lawyers(s): Joseph Dever
Arbitrator(s): Thomas Benjamin Salzer, David F. Griesing, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $0 |
| 20-00468 | 10/30/2020 | Claimant(s): Tracey Drabant
Claimant Lawyers(s): Tracey Drabant
Respondent(s): Jonathan Kuhn, Allegheny Investments, Ltd.
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): Jim Geiger, Richard W. Dissen, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | $5,000 |
| 18-02829 | 06/24/2020 | Claimant(s): Amber Auto, Ltd., Standard Group Resources, Ltd
Claimant Lawyers(s): Brian J. McSweeney
Respondent(s): Daniel Speirs, Wells Fargo Clearing Services
Respondent Lawyers(s): Geoffrey Beckham
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
| | $0 |
