| 13-03690 | 07/30/2015 | Claimant(s): Maria Lopez-Almaguer
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Raymond C. Kerr, Allen M. Kerpan, Richard Merritt Langway
Hearing Site: San Juan, PR
|  | Expungement |
| 12-03910 | 12/03/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): David Kraft
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
| | |
| 11-03614 | 08/08/2013 | Claimant(s): The Estate of James M. Grisebaum
Claimant Lawyers(s): Eric Lipper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Thomas A. Martin, Juanita D. McKethan, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 11-02396 | 05/02/2013 | Claimant(s): Kenneth Nelson, Kris Nelson, Carol W. Nelson, Carol W. Nelson Trust, Kenneth A. Nelson Irrevocable Insurance, Kenneth A. Nelson Revocable Trust
Claimant Lawyers(s): Daniel H. Charest
Respondent(s): Jason Stephens, UBS Financial Services Inc., The Stephens Wealth Management Group
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Barry David Thorpe, Philip L. Manczak, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-02536 | 11/20/2012 | Claimant(s): Martha Rudnick
Claimant Lawyers(s): Gary Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Saly Glassman
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): John E. Sutton, Harold S. Stern, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-03972 | 04/20/2012 | Claimant(s): Peter Graham Lee & Jennifer Patricia Lee
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Berthold T. Berkwich, Harold S. Stern, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04804 | 11/08/2010 | Claimant(s): Liat Toledano, Yizhak Toledano, Yizhak Toledano Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Seth L. Finkel, Thomas Czinner, Barry David Thorpe, Nanci Sondra Landy, Lee Alan Rosenblum, Harold S. Stern
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-02018 | 09/13/2010 | Claimant(s): Donna Appleby
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Bruce Pomerantz, Wachovia Securities
Respondent Lawyers(s): Matthew E. Wolper, Robert A. W. Boraks
Arbitrator(s): Susan M. Dunning, Stuart Harvey Ziegler, Walter A. Bajak
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-05207 | 03/22/2010 | Claimant(s): Clarice Ujhelyi, Julius Ujhelyi, Clarice E. Ujhelyi Living Trust, Julius Ujhelyi Living Trust
Claimant Lawyers(s): Julius C. Ujhelyi
Respondent(s): TD Ameritrade., J.P. Morgan Securities, Manuel Gonzalez
Respondent Lawyers(s): Catherine Luth, Manuel Gonzalez, Matthew E. Wolper
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
| | $0 |
