| 23-01723 | 09/11/2023 | Claimant(s): Adam Epstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
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| 22-02251 | 09/08/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 22-02605 | 09/06/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 23-01102 | 09/01/2023 | Claimant(s): Brian Donaldson, Frank Baldwin
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 23-01264 | 08/31/2023 | Claimant(s): William Cerf
Claimant Lawyers(s): Zachary M. Schmitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
| 19-03510 | 08/28/2023 | Claimant(s): Thatcher J. Fields Gift Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Louis H Miron, Julius Z. Frager, Bruce Arthur Blessington
Hearing Site: Montpelier, VT
|  | Expungement |
| 22-02748 | 08/23/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 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 |
| 22-02583 | 08/18/2023 | Claimant(s): Michelle Rodriguez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 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
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