| 24-02085 | 11/26/2024 | Claimant(s): Mitchell Riesenberger
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Kenneth R. Starr, Kenneth W. Gosliner, Catherine Esther Bocskor
Hearing Site: Boston, MA
| | |
| 23-03215 | 10/11/2024 | Claimant(s): Shanita Gray, Dinner with the Grays Incorporated
Claimant Lawyers(s): Shanita R. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): John James Rubin, Susan Warshauer Kennicott, Elizabeth Berry West
Hearing Site: Atlanta, GA
|  | $0 |
| 23-00686 | 05/09/2024 | Claimant(s): Mark Sullivan, Richard Dellarusso
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
| | |
| 23-03044 | 03/12/2024 | Claimant(s): Daniel Egbert, Toria Scotto
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 21-01772 | 01/10/2024 | Claimant(s): Lindsay Francis, Maggie Browney, Wayne D. Miller Revocable Living Trust
Claimant Lawyers(s): Cortney S. Alexander
Respondent(s): Eric Hynden, UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Cassandra Kimberly Ward, Zoana Price, Abiola F Bankole-Hameed
Hearing Site: Atlanta, GA
| | $260,800 |
| 22-02024 | 10/24/2023 | Claimant(s): Scott Parker, Sharon Parker
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Sherry R. Wetsch, Lynne M. Gomez, Ashika S Brinkley
Hearing Site: Houston, TX
| | Expungement |
| 22-02135 | 12/05/2022 | Claimant(s): Harrison Hoyes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 21-02932 | 09/15/2022 | Claimant(s): Rocky Wuyan, Ting Ma, Rocky Wuyan IRA, Ting Ma IRA, Wuyan Family Irrevocable Trust 11/6/12
Claimant Lawyers(s): Eric S. Pruitt
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Kathy A. Tatone, John William Kenesey, Mark W Solock
Hearing Site: Chicago, IL
| | $186,963 |
| 21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten
Hearing Site: Cleveland, OH
| | |
| 22-00359 | 05/13/2022 | Claimant(s): Roderick Von Lipsey
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
