| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
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| 21-02060 | 03/23/2022 | Claimant(s): John Hanlon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 21-01898 | 03/17/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew R. Park, Gregory Curley, John Murphy
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
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| 20-03189 | 02/22/2022 | Claimant(s): Vincent Fiorentino
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 21-00147 | 02/08/2022 | Claimant(s): Bradley Lott
Claimant Lawyers(s): Erika Binnix
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy, Miles D. Hart, Todd A. Holleman
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
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| 21-01006 | 02/08/2022 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Stifel, Nicolaus & Co.., UBS Financial Services Inc., Janney Montgomery Scott LLC, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Benjamin J. Biard, Jill B. Clarke, John Murphy, Paul Klein
Arbitrator(s): Sheryl Sagel, Nanci Sondra Landy, Jason Allen Rosner
Hearing Site: Boca Raton, FL
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| 21-01126 | 01/27/2022 | Claimant(s): David Trogan
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Randi Perry Spallina
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 21-00779 | 12/23/2021 | Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 20-03192 | 11/24/2021 | Claimant(s): David Ruckno
Claimant Lawyers(s): Mark S. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
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| 21-00897 | 10/20/2021 | Claimant(s): Thomas Cosinuke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert E. Anderson
Hearing Site: Montpelier, VT
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