| 20-01099 | 06/16/2022 | Claimant(s): Vlhaka L.P.
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Alan M. Rosen, Constance Ellen Boukidis, David K. Slay
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-03050 | 06/15/2022 | Claimant(s): Maria Torruella
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 20-02086 | 06/15/2022 | Claimant(s): Shawn Parr, TTEE of Parr Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Randy R. Maher, William Richard Espino
Hearing Site: San Diego, CA
| | Expungement |
| 21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten
Hearing Site: Cleveland, OH
| | |
| 22-00679 | 06/09/2022 | Claimant(s): Andrew Oconnell, Brant Ferguson, Cory Durham
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 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 |
| 21-01621 | 06/06/2022 | Claimant(s): Rosario Cammarata
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke, John Murphy
Arbitrator(s): Marie G. Peterson, Allen Robin, Carl Joseph Domino
Hearing Site: Boca Raton, FL
| | |
| 20-03990 | 06/06/2022 | Claimant(s): Pamela McCormick, Rick McCormick, The Lindsay McCormick 2013 Gift Trust
Claimant Lawyers(s): Jeffrey Erez, Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Robert B. Hansohn, Anita Teresa Hayden, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | $1,181,720 |
| 20-01660 | 06/01/2022 | Claimant(s): Milton Smith, Cabot Smith, as Trustee
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J Matthew W. Haws
Arbitrator(s): Peter M Cosel, Patrick Sullivan, Gail Sillman
Hearing Site: Boston, MA
| | $0 |
| 21-02693 | 05/27/2022 | Claimant(s): Eric Moreno
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
