| 20-02109 | 03/28/2022 | Claimant(s): Derish M. Wolff 2012 Irrevocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian L. Muldrew
Arbitrator(s): Carol Maria Luttati, Barry Stephen Spector, Sharon Price-Cates
Hearing Site: New York, NY
|  | $0 |
| 19-02180 | 10/19/2020 | Claimant(s): Amanda B. Straight Revocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): John F. Duane, Gerald H. Grayson, Patricia Kathleen Costello
Hearing Site: New York, NY
| | $0 |
| 17-02473 | 03/21/2019 | Claimant(s): Betty Steinhorn TOD, Michael Steinhorn, Robert Steinhorn
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $24,000 |
| 15-00032 | 11/17/2015 | Claimant(s): John Murabito
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Walter Michael Mathews
Hearing Site: New York, NY
| | $0 |
| 14-01573 | 10/30/2015 | Claimant(s): Morrisa Schiffman
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Kenneth J. Horowitz, Martin R. Cramer, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $95,633 |
| 13-01227 | 05/22/2015 | Claimant(s): Michael S. Shaw IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Herbert Branitsky, David I. Stern, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00472 | 11/27/2013 | Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 11-01330 | 07/01/2013 | Claimant(s): Nifly, LLP
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo
Hearing Site: New York, NY
| | $55,000 |
| 10-05687 | 10/19/2012 | Claimant(s): Elizabeth McCarthy, Robert McCarthy, The Emily J. McCarthy Education Trust UA, The John P. McCarthy Education Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Sanford C. Bernstein & Co., Alliance Capital Management L.P., AllianceBernstein L.P.
Respondent Lawyers(s): Sean Murphy
Arbitrator(s): Lowell D. Johnston, Carol Maria Luttati
Hearing Site: New York, NY
| | $30,000 |
| 11-00843 | 07/24/2012 | Claimant(s): Scott Strumlauf
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Helen E. Huyler, Robert Allen Fine, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
