| 19-02702 | 03/31/2021 | Claimant(s): Lisa Fisher, Matthew Fisher
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul Lansing, Lynn Hirschfeld Brahin, Marvin Brown
Hearing Site: Columbus, OH
|  | $370,922 |
| 19-01535 | 03/12/2021 | Claimant(s): James W. Johnston, as Trustee of the
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): James W. Geiger, Richard Carl Smukler, Thomas Richard Blake
Hearing Site: Boca Raton, FL
| | $0 |
| 19-03790 | 03/08/2021 | Claimant(s): Alan Wayne Friesen Revocable Trust, Jacob Gordon Jackson Revocable Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Charles G. Michaels, Henry R Cox, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $1,044,840 |
| 19-02278 | 01/20/2021 | Claimant(s): Keith J. Lilek Declaration of Trust, Teresa Lilek Declaration of Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Patricia Joanne Branco, David A. Schuler, Lawrence R. Rute
Hearing Site: Kansas City, MO
| | Expungement |
| 19-01678 | 06/25/2020 | Claimant(s): Beverly D Gitelman Revoc. Living Trust
Claimant Lawyers(s): Laura Schrick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul L. Matecki, Joseph R Soraghan, David E. Crawford
Hearing Site: St. Louis, MO
| | Expungement |
| 18-00710 | 06/08/2020 | Claimant(s): Julius Pasqualoni, Sheri Pasqualoni
Claimant Lawyers(s): Sabato P Fiano
Respondent(s): David Ivanovich Jr., John Campeau, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Robert L. Chase, April C. Teveris, Jeremy Gray Zimmermann
Hearing Site: Hartford, CT
| | $0 |
| 18-03287 | 03/20/2020 | Claimant(s): Leigh Datzker, Ttee Annabelle Datzker Tr
Claimant Lawyers(s): Leigh Alan Datzker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Kirtley M. Thiesmeyer, Paula K. Konikoff, Marie Ann Stein
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03754 | 02/19/2020 | Claimant(s): David and Linda Watts JTWROS
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Brian Wurdemann, Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Adam Kauff, Anthony J. Borrelli, Brian M. Wurdemann
Arbitrator(s): Philip Levine, Catherine Stewart, Bryan David Glass
Hearing Site: Newark, NJ
| | $175,000 |
| 19-01596 | 01/10/2020 | Claimant(s): Laura Nasatir, Laura M. Nasatir Roth IRA, Laura M. Nasatir SEP IRA, Laura M. Nasatir 401K, Laura M. Nasatir Defined Benefit Plan, Laura M. Nasatir Trust
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 18-03652 | 12/18/2019 | Claimant(s): Ivanna Freddi, Juan Freddi, Monica Kuclik, Rosario Freddi
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Richard Carl Smukler, Virginia Lee Perez, Michael B Goldstein
Hearing Site: Miami, FL
| | $0 |
