| 20-01787 | 08/23/2021 | Claimant(s): Allison Walk, Stephen Walk
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye
Hearing Site: Baltimore, MD
|  | $405,000 |
| 20-04154 | 08/20/2021 | Claimant(s): George Stefanou
Claimant Lawyers(s): Harris Freedman
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Mitchel Weiss
Hearing Site: Orlando, FL
| | |
| 21-00059 | 08/20/2021 | Claimant(s): Edgardo Ferrer
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 21-00383 | 08/20/2021 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Sean Martin
Respondent Lawyers(s): Sean Rierson Martin
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
| | |
| 20-01181 | 08/20/2021 | Claimant(s): Brandon Dabdoub, McKenzee Dabdoub
Claimant Lawyers(s): Lance C. Arney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Thomas A. Martin, G. Maynard Green, Andrea Joan Douglas
Hearing Site: Houston, TX
| | Expungement |
| 20-01035 | 08/20/2021 | Claimant(s): Elizabeth Bennett, Samuel Bennett
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Raymond P. Buschmann, Marcia Bonita Gevers, Alexis Anne Washa
Hearing Site: Chicago, IL
| | $0 |
| 19-02669 | 08/19/2021 | Claimant(s): Edward Taylor
Claimant Lawyers(s): Jay W. Waldman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Diane Ciccone, John T. Hausladen, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 20-00524 | 08/19/2021 | Claimant(s): Curtis Parry
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 20-02454 | 08/19/2021 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily Hayes
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 20-02713 | 08/19/2021 | Claimant(s): Roger Monteforte
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Brauer & Associates., Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Gerald Brauer, Peter Bon Viso
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
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