| 15-02423 | 05/03/2016 | Claimant(s): Brad Kalas
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard A. Emirhanian, Jeffrey E. Skogsbergh, Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 15-00032 | 11/17/2015 | Claimant(s): John Murabito
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Walter Michael Mathews
Hearing Site: New York, NY
|  | $0 |
| 14-03706 | 11/10/2015 | Claimant(s): Patrick Van Roten
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert E. Anderson, Jeffrey Charles Rooney, Zung T. Nguyen
Hearing Site: New York, NY
| | |
| 14-01573 | 10/30/2015 | Claimant(s): Morrisa Schiffman
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Kenneth J. Horowitz, Martin R. Cramer, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $95,633 |
| 13-01227 | 05/22/2015 | Claimant(s): Michael S. Shaw IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Herbert Branitsky, David I. Stern, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01025 | 12/15/2014 | Claimant(s): Grant Gochin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | |
| 12-00759 | 04/04/2014 | Claimant(s): Edward Dulin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Richard Marc Weinroth, Peter Joseph Kalman, W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 11-00472 | 11/27/2013 | Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 11-01330 | 07/01/2013 | Claimant(s): Nifly, LLP
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo
Hearing Site: New York, NY
| | $55,000 |
| 10-05687 | 10/19/2012 | Claimant(s): Elizabeth McCarthy, Robert McCarthy, The Emily J. McCarthy Education Trust UA, The John P. McCarthy Education Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Sanford C. Bernstein & Co., Alliance Capital Management L.P., AllianceBernstein L.P.
Respondent Lawyers(s): Sean Murphy
Arbitrator(s): Lowell D. Johnston, Carol Maria Luttati
Hearing Site: New York, NY
| | $30,000 |
