| 11-03812 | 02/07/2014 | Claimant(s): Thomas Boster
Claimant Lawyers(s): Teresa A. Cunningham
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Thomas J. LoSavio, Nancy Hutt, Edwin C. Shiver
Hearing Site: San Francisco, CA
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| 12-01338 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): William McClendon
Respondent Lawyers(s): Joseph A. Salazar
Arbitrator(s): John J. Flynn, Edwin C. Shiver, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
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| 08-04812 | 06/13/2013 | Claimant(s): Gary Cattich
Claimant Lawyers(s): Gary Cattich
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Jarrott T. Miller, Douglas W. Oldfield, Edwin C. Shiver
Hearing Site: San Francisco, CA
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| 10-01475 | 04/15/2011 | Claimant(s): H. Drobenaire, Luis Alvira
Claimant Lawyers(s): Dave L. Neville
Respondent(s): Henry Carter, Jason Blum, Iron Capital Securities
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): Robin Lynn Berry, Edwin C. Shiver, Mario Singleton
Hearing Site: San Francisco, CA
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| 09-06251 | 02/03/2011 | Claimant(s): Albert Chen
Claimant Lawyers(s): John Balestriere
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Daniel E. Shaw
Arbitrator(s): Edwin C. Shiver, Gregory M. Scanlon, M. Scott Donahey
Hearing Site: San Francisco, CA
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| 10-01848 | 12/01/2010 | Claimant(s): Pamela Mah
Claimant Lawyers(s): Pamela K. Mah
Respondent(s): Financial Advisers of America
Respondent Lawyers(s): Todd Pack
Arbitrator(s): Helen Marinak Blohm, Robert G. Miller, Edwin C. Shiver
Hearing Site: Honolulu, HI
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