| 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 |
| 22-01676 | 03/07/2024 | Claimant(s): Estate of Elisabeth Beatriz Sust
Claimant Lawyers(s): Mark David Hunter
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Barth Satuloff, Andrea R. Jacobs, Joseph Michael Matthews
Hearing Site: Boca Raton, FL
| | $0 |
| 22-01781 | 02/21/2024 | Claimant(s): Richard McCready, Rosemary McCready
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John Rinaldi, Sidney Seligman, Priscilla Coq
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01828 | 06/26/2023 | Claimant(s): Robert Gooden, Tonya Gooden
Claimant Lawyers(s): Tonya M. Gooden
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael J. Ahlstrom, Cassandra Kimberly Ward, Shaquana Ellison
Hearing Site: Atlanta, GA
| | Dissmissed by Rule 12206 |
| 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 |
| 20-02838 | 08/12/2022 | Claimant(s): Peter Thum, Peter Thum ROTH IRA, Peter Thum Traditional IRA, The Peter Thum Rollover IRA
Claimant Lawyers(s): Peter Thum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lucienne Carasso Bulow, Elizabeth Gilbert, Sandra Holtzman
Hearing Site: New York, NY
| | Expungement |
| 20-01099 | 06/16/2022 | Claimant(s): Vlhaka L.P.
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Alan M. Rosen, Constance Ellen Boukidis, David K. Slay
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-02920 | 01/25/2022 | Claimant(s): Michael Azzarelli
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Brian Patrick Quinn, Vlad Gerard Spitzer, Jason Paul Ramos
Hearing Site: Tampa, FL
| | Expungement |
| 20-01343 | 01/24/2022 | Claimant(s): Denice Azar Revocable Trust
Claimant Lawyers(s): Scott Lane
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert J. Scafuri, Michael D. McDowell, Linda Arlene Michler
Hearing Site: Pittsburgh, PA
| | Expungement |
| 20-00941 | 12/09/2021 | Claimant(s): Colman Kraff as Trustee, Julie Kraff as Trustee
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Stuart D. Summers, Susan M. Coleman, Odalo Joseph Ohiku
Hearing Site: Chicago, IL
| | $40,300 |
