| 23-01860 | 08/01/2024 | Claimant(s): Gail Jabes, Joseph Jabes
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lee Milich, Mark J. McCarthy, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux
Hearing Site: Denver, CO
| | $0 |
| 20-01074 | 08/22/2023 | Claimant(s): Robert A. Garvy Restated Revocable Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-01334 | 07/22/2022 | Claimant(s): Christopher Pechock
Claimant Lawyers(s): Christopher Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Catherine Stewart, Graham Daw, Sylvia Kaminsky
Hearing Site: Jersey City, NJ
| | $0 |
| 19-00647 | 07/18/2022 | Claimant(s): Steven Mariano, Steven M. Mariano Revocable Trust
Claimant Lawyers(s): Jeffrey A. Tew
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Steven Gerard Goerke, Alessandra Piras Torrens, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $0 |
| 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 |
| 20-03798 | 03/24/2022 | Claimant(s): B. Bryant, Memorial Rock Investments L.P.
Claimant Lawyers(s): Lance C. Arney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Bartlett Michael Sheinberg
Hearing Site: Houston, TX
| | $1,184,210 |
| 19-03051 | 01/21/2022 | Claimant(s): Robert Ratcliff, Ratcliff Investments
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Mark A. Myers, Alan Lee Powell, James Wesley Bearden
Hearing Site: New Orleans, LA
| | $433,000 |
| 20-01070 | 09/23/2021 | Claimant(s): Jess DiPasquale
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Betty Chen, Harrison Johnson, Emily Diamond
Hearing Site: New York, NY
| | $0 |
| 20-01787 | 08/23/2021 | Claimant(s): Allison Walk, Stephen Walk
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye
Hearing Site: Baltimore, MD
| | $405,000 |
