| 23-01270 | 11/08/2024 | Claimant(s): Douglas Muhlbauer, The Harbor Group of New York., The Harbor Group of South Florida., Harbor Group of South Florida. 401k, Harbor Group of South Florida. Cash, The Harbor Group of New York Inc. 401(K), The Harbor Group of New York. Cash, American Endowment Foundation FBO
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): V. Justin Arpey
Arbitrator(s): Allen Robin, Carl Henry Perdue, Richard Gendler
Hearing Site: Boca Raton, FL
|  | $2,348,860 |
| 23-01288 | 10/03/2024 | Claimant(s): Elizabeth Deluca, Louis Deluca, UBS.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): John B. Sochacki, Stephanie Jeannette Charny, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | $14,266,100 |
| 23-00270 | 09/06/2024 | Claimant(s): Hollis Kazmann, Thomas Walters
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jacqueline R. Fox, Jeff Kilgore, James Douglas Gaughan
Hearing Site: Houston, TX
| | Expungement |
| 22-02620 | 08/06/2024 | Claimant(s): Patrick Roth
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jay Alan Kranis, Regina Waynes Joseph, Bertha Maria Rodriguez
Hearing Site: Jersey City, NJ
| | Expungement |
| 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 |
| 22-02399 | 07/17/2024 | Claimant(s): 2002 Alice H. Hanley Descendants' Trust, E. Nicole H. Pickett 2002 Descendants', Lee Merrill H. Curtis 2002 Descendants', SAR Trust A u/w/o William Lee Hanley Jr., The Hanley 2012 Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Nancy J. Cliff, Michael P. Schiff, Gerald H. Grayson
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01781 | 02/21/2024 | Claimant(s): Richard McCready, Rosemary McCready
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John Rinaldi, Sidney Seligman, Priscilla Coq
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03765 | 10/03/2022 | Claimant(s): OKC Group
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): First Republic Investment Management, First Republic Securities Company
Respondent Lawyers(s): Neal Robb
Arbitrator(s): Steven Ira Weinberger, Jonathan Chane, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-01723 | 07/18/2022 | Claimant(s): Dennis Ainbinder, Nadine Ainbinder, Dennis & Nadine Ainbinder TTEES 1992
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Tina Scott Polsky, Donna Greenspan Solomon, Jonathan Chane
Hearing Site: Boca Raton, FL
| | $252,627 |
| 20-04077 | 06/22/2022 | Claimant(s): Jacques Soileau, Jennifer Plauche Soileau, Nexgen Investments
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Barbara L. Edin, Donald Cole Massey, Linda Genevieve Bizzarro
Hearing Site: New Orleans, LA
| | $975,606 |
