| 21-01965 | 11/08/2023 | Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
|  | Expungement |
| 23-02218 | 10/13/2023 | Claimant(s): Jeffrey Klotz
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
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| 23-02022 | 10/03/2023 | Claimant(s): Charles Teixeira
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 23-01781 | 09/29/2023 | Claimant(s): Nancy Gabany
Claimant Lawyers(s): David I. Hantman
Respondent(s): Comerica Securities
Respondent Lawyers(s): Susan C. Nystrom
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | |
| 22-02818 | 09/27/2023 | Claimant(s): Christopher Aitken, Roy Tonning
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 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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| 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
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| 23-01165 | 08/25/2023 | Claimant(s): Lashell Lentz
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
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| 23-00736 | 08/10/2023 | Claimant(s): Gary Sanson
Claimant Lawyers(s): David I. Hantman
Respondent(s): Cambridge Investment Research., Voya Financial Advisors.
Respondent Lawyers(s): Denis C. Dice, Jeanette E. Dennis
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 23-00432 | 08/07/2023 | Claimant(s): Peter Klein
Claimant Lawyers(s): David I. Hantman
Respondent(s): Hightower Securities
Respondent Lawyers(s): Paul Wascher
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
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