| 14-02711 | 07/25/2017 | Claimant(s): ABS Manager
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott Zachary Seff, Karen A. Lockwood, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | $1,379,400 |
| 13-01572 | 04/23/2015 | Claimant(s): F. Gardner, Jeffrey Lane, Shapiro Family Trust, Sunita Kumar Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Vincent J. Natoli, Robert E. Jenks, Joseph L. Hagan
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01962 | 02/09/2015 | Claimant(s): Donald Bowman, Eileen Bowman
Claimant Lawyers(s): Steven M. Wilker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Linda I. Thomas, William J. Bender, James G. Dawson
Hearing Site: Seattle, WA
| | $0 |
| 12-03610 | 01/14/2014 | Claimant(s): Joseph Czarnecki, Nancy Czarnecki
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Securities America., Michael Sztrom, Raymond Lucia, First Allied Securities., RJL Wealth Management, Raymond J. Lucia Companies.
Respondent Lawyers(s): Denis C. Dice, Michael Sztrom, Neal S. Robb
Arbitrator(s): Sheldon Seligsohn, Ethan L. Lewis, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-00890 | 07/24/2012 | Claimant(s): Easton Limited Partnership
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Douglas Rachlin, Henry Robertson, Fidelity Brokerage Services LLC, Neuberger Berman LLC
Respondent Lawyers(s): Melissa H. Shea, Neal S. Robb, Patrick R. Mahoney
Arbitrator(s): Guenter S. Cohn, Thomas E. Mullen, Duane Ted Wolfe
Hearing Site: San Diego, CA
| | $0 |
| 10-04520 | 02/03/2012 | Claimant(s): Margaret Wendt
Claimant Lawyers(s): Jed Gladstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Laurent C. Vonderweidt, Kirtley M. Thiesmeyer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04008 | 12/09/2011 | Claimant(s): Jerome Guidish, Joseph Guidish, Greystone Park Mobile Homes.
Claimant Lawyers(s): Bradford Gucciardo
Respondent(s): Maureen Maloney
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Lawrence M. Green, Richard S. Zaifert, Walter John Chesney
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05536 | 08/11/2010 | Claimant(s): Alfred Davenport Jr., A.L. Davenport Trust
Claimant Lawyers(s): Robert L. Risley
Respondent(s): Bjorn Hauerbach, Donald Gorsch, Edward Tom, UBS Financial Services Inc., UBS
Respondent Lawyers(s): Corporate Officer, Neal S. Robb
Arbitrator(s): Theodore G. Bradpiece, Kenneth E. Owen, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00273 | 11/25/2009 | Claimant(s): Edmund Gann, Edmund A. Gann Trustee
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew Geller, James Shelburne, UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb, Payne L. Templeton
Arbitrator(s): Judith A. Gust, Robert L. Levin, Joseph T. Donnantuoni
Hearing Site: San Diego, CA
| | $60,000 |
