| 22-00905 | 08/03/2023 | Claimant(s): Thomas Cleary
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Jane C. Carney, Kathy Davidson Ireland, David Ivan Brochstein
Hearing Site: Washington, DC
| | |
| 20-01209 | 06/07/2023 | Claimant(s): Len Ventura
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Joan Maxine Secofsky, Keely D. Parr, Alfred D Peters
Hearing Site: New York, NY
|  | Expungement |
| 21-01577 | 06/23/2022 | Claimant(s): Marko Gnann
Claimant Lawyers(s): Robert Volynsky
Respondent(s): Donovan Mannato, Morgan Stanley, Wells Fargo Clearing Services
Respondent Lawyers(s): Abigail Elrod, Andrew W. Sidman, Kevin D. Galbraith
Arbitrator(s): Sandra J. Mullings, Marion F. Posner, Vaughn Norman Browne
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 17-00380 | 05/09/2018 | Claimant(s): Seth Martin, Carla & Nicole Martin Family Trust
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Christine Abbott, UBS Financial Services Inc., Todd Feldman
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Lise Gabrielle Hunter, Anna M. Fanelli, Judith B Weinstock
Hearing Site: New York, NY
| | Expungement |
| 16-02710 | 01/19/2018 | Claimant(s): Marcus Nagel, Matthew Nagel
Claimant Lawyers(s): Marcus Nagel
Respondent(s): David Warren, Citigroup Global Markets., UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam M. Kauff, Andrew W. Sidman, Denver G. Edwards
Arbitrator(s): Steven Gourley, Howard A. Emirhanian, George Herman Frisch
Hearing Site: Los Angeles, CA
| | Dismissed by Rule (12200/12201) |
| 14-03811 | 11/18/2016 | Claimant(s): Teresa Rosas, Condado Motors.
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Andrew W. Sidman, Angela A. Turiano
Arbitrator(s): Langfred W. White, Thomas Joseph Atkinson, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $776,540 |
| 12-03049 | 09/24/2014 | Claimant(s): Madeleine Perricone
Claimant Lawyers(s): Madeleine Perricone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Kenneth Dymond, Paul Smith Besson, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
| 11-04455 | 06/25/2013 | Claimant(s): Robert Stolte
Claimant Lawyers(s): Alan L. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Alan Shaw, S. Charles Tabak, Ronald J. Colombo
Hearing Site: Newark, NJ
| | Expungement |
| 10-00361 | 06/09/2011 | Claimant(s): Diane Croce, Pasquale Croce
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Jim Geiger, Richard F. Bieker, Eugene M. Schloss
Hearing Site: Philadelphia, PA
| | $1,520,000 |
| 09-01992 | 03/14/2011 | Claimant(s): Carl Mielnicki, Donald Knicley, Frederick Krause, Thomas Leo
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Frank C. Fogl, Jeffrey Mark Schwartz, Ralph L. Halpern
Hearing Site: Rochester, NY
| | $0 |
