| 23-00270 | 09/06/2024 | Claimant(s): Hollis Kazmann, Thomas Walters
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jacqueline R. Fox, Jeff Kilgore, James Douglas Gaughan
Hearing Site: Houston, TX
|  | Expungement |
| 22-02807 | 08/27/2024 | Claimant(s): Chrisandra Delesky, Jonathan Provoost
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Paul Allan Massaro, Jay Alan Kranis, David Patrick Syring
Hearing Site: Jersey City, NJ
| | Expungement |
| 22-02620 | 08/06/2024 | Claimant(s): Patrick Roth
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jay Alan Kranis, Regina Waynes Joseph, Bertha Maria Rodriguez
Hearing Site: Jersey City, NJ
| | Expungement |
| 22-02399 | 07/17/2024 | Claimant(s): 2002 Alice H. Hanley Descendants' Trust, E. Nicole H. Pickett 2002 Descendants', Lee Merrill H. Curtis 2002 Descendants', SAR Trust A u/w/o William Lee Hanley Jr., The Hanley 2012 Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Nancy J. Cliff, Michael P. Schiff, Gerald H. Grayson
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-00448 | 06/26/2024 | Claimant(s): Jennifer Gold
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Alex Chivarsky, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman, Omar Perez
Arbitrator(s): Robert B. Hansohn, Brent J. Rosenbaum, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Expungement |
| 23-01396 | 06/05/2024 | Claimant(s): Charles L. Roberts Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-01820 | 02/28/2024 | Claimant(s): Karen Guerrero
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-01965 | 11/08/2023 | Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
| | Expungement |
| 22-00551 | 12/14/2022 | Claimant(s): Joanne Henry
Claimant Lawyers(s): Joanne J. Henry
Respondent(s): UBS Financial Services Inc., Raymond Hart, Sam Giliberti
Respondent Lawyers(s): David I. Hantman, Omar Perez
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Expungement |
| 20-02402 | 07/26/2022 | Claimant(s): Suzann Terry Smith
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Sam Gowin, Laverne Lewis Gaskins, Lakeya Brantley
Hearing Site: Atlanta, GA
| | Expungement |
