22-02026 | 09/30/2024 | Claimant(s): Carol Chaney, E. Chaney, Chaney Family Partnership, Ltd. Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Andrea Joan Douglas, Allan R. Lazor, Joshua Charles Nelson-Archer 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 |
22-02810 | 08/07/2024 | Claimant(s): Sandra Stahlke, William Stahlke Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Michael J. Quarequio, Joseph Benalt, Stephenie Dorris Hearing Site: Boca Raton, FL
| | Expungement |
22-01799 | 02/26/2024 | Claimant(s): Matthew Bennett, Melissa Bennett Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kuan Huang Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Evan K. Aidman Hearing Site: Philadelphia, PA
| | $425,000 |
22-02024 | 10/24/2023 | Claimant(s): Scott Parker, Sharon Parker Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Sherry R. Wetsch, Lynne M. Gomez, Ashika S Brinkley Hearing Site: Houston, TX
| | Expungement |
21-02665 | 07/22/2022 | Claimant(s): Joseph Petri Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Diane M. Perry, Robin Inez Willner, Erika-Rae M Harvey Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12200 |
20-00464 | 06/08/2022 | Claimant(s): William and Diane Cary Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Peter G. Wilson Arbitrator(s): Daniel R. Formeller, Leon Fox, John Pacocha Hearing Site: Chicago, IL
| | $250,600 |
20-01960 | 05/25/2022 | Claimant(s): The David and Heather Weir Family Trust Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charles A. DeVore Arbitrator(s): Helen Marinak Blohm, Paul H. Lamboley, Harvey W Gordon Hearing Site: Albuquerque, NM
| | $1,447,090 |
20-01732 | 05/09/2022 | Claimant(s): Fortezza Investments, L.P. Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): S. Ronald Daniels, Christopher E. Benjamin, Steven Moore Hearing Site: Boca Raton, FL
| | $0 |
19-01633 | 04/13/2022 | Claimant(s): Jeanne Capasse, Thomas Capasse Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kuan Huang Arbitrator(s): Michael Jaffe, Edmund Timothy Donovan, Sean Farrow Hearing Site: New York, NY
| | Expungement |