14-00560 | 08/28/2015 | Claimant(s): Barry Bruck, Enid Bruck, Enid Bruck and Barry Bruck JTWROS Claimant Lawyers(s): Scott D. Hirsch Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Monroe Mitchel, Daniel Joseph Chiodo, Jason Allen Rosner Hearing Site: Boca Raton, FL
| | Expungement |
13-03758 | 08/06/2015 | Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf Claimant Lawyers(s): William R. Lindsley Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker Hearing Site: Cleveland, OH
| | Expungement |
14-03544 | 08/04/2015 | Claimant(s): Vaughan Scott Claimant Lawyers(s): William W. Allen Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Tim V. Young Hearing Site: Louisville, KY
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14-03101 | 06/30/2015 | Claimant(s): Nathan Bard and Monteen Bard Claimant Lawyers(s): Rob Bleecher Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Steven T. Stern Hearing Site: Philadelphia, PA
| | $0 |
13-03688 | 05/01/2015 | Claimant(s): Kuku Walia Claimant Lawyers(s): Benjamin Lapin Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Richard W. Cutler, Frances Gottfried, Sonja Tennille Orgias Hearing Site: New York, NY
| | Expungement |
14-02315 | 04/02/2015 | Claimant(s): John Jacobs Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Stuart T. Rebish Arbitrator(s): Mitchell Lee Marinello Hearing Site: Chicago, IL
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13-02257 | 04/02/2015 | Claimant(s): Caryn Andrews, Dorothy Clarke Claimant Lawyers(s): Stephany McLaughlin Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): William M. Getzoff, Eugene N. Halladay, James A. Murphy Hearing Site: Chicago, IL
| | $0 |
09-06692 | 08/14/2013 | Claimant(s): Estate of Frederick J. Eickhoff Claimant Lawyers(s): Harvey C. Shapiro Respondent(s): Edward Jones Respondent Lawyers(s): David I. Hantman Arbitrator(s): Peter A. Goldman, Lewis M. Smith, George F. Adams Hearing Site: Albany, NY
| | $0 |
09-03793 | 06/30/2011 | Claimant(s): Julia A. Keenan, IRA, Stephen R. Keenan Claimant Lawyers(s): Steven B. Caruso Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): David I. Hantman Arbitrator(s): Jerome M Shafer, Ira M. Ross, Howard Weitz Hearing Site: New York, NY
| | Expungement |
09-01787 | 03/31/2011 | Claimant(s): Daniel Farash Claimant Lawyers(s): Louis F. Burke Respondent(s): UBS Financial Services Inc., Steven Feit Respondent Lawyers(s): David I. Hantman Arbitrator(s): J. Martin McDonough, Marguerite B. Filson, Frank Irizarry Hearing Site: New York, NY
| | $0 |