| 19-02173 | 11/14/2022 | Claimant(s): Daniel Wallace
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Rosensaft
Arbitrator(s): Mary Julia O'Connell, David John Reilly, Eric Goldman
Hearing Site: New York, NY
|  | $0 |
| 18-04247 | 08/04/2021 | Claimant(s): Aliya Falk, Linda Falk, Mariel Falk
Claimant Lawyers(s): John C. Re
Respondent(s): Gary Zahakos, UBS Financial Services Inc.
Respondent Lawyers(s): Joshua S. Bratspies
Arbitrator(s): Jay Alan Kranis, David John Reilly, Albert Rizzo
Hearing Site: New York, NY
| | $0 |
| 17-02183 | 07/24/2019 | Claimant(s): Josephine Zanoni, Richard Zanoni, The Zanoni Family Trust
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Carole L. Green, David John Reilly, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 16-00531 | 10/24/2016 | Claimant(s): Anna Hostrop, William Rapp, Estate of Virginia Venable Rapp
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ariel Gursky
Arbitrator(s): Roger L Gavan, David John Reilly, Sara Kula
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 11-04582 | 12/18/2013 | Claimant(s): Steven Oberdorfer
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc., Todd And Company.
Respondent Lawyers(s): Compliance Officer, Ronald Moschetta
Arbitrator(s): John Daly, Amy Y. Moy, David John Reilly
Hearing Site: New York, NY
| | $100,000 |
