| 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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| 17-00361 | 01/10/2022 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): David Morris
Respondent Lawyers(s): David J. Morris
Arbitrator(s): Theodore W. Wrobleski, Jerome K. Rumps, Richard Russell Perlman
Hearing Site: Chicago, IL
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| 21-02619 | 12/28/2021 | Claimant(s): James Candella
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 20-02482 | 12/23/2021 | Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): David Wertz Ellis
Hearing Site: Boston, MA
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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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| 21-01429 | 12/13/2021 | Claimant(s): Carlos Pou
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
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| 21-01386 | 12/10/2021 | Claimant(s): Victor Tomassini
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): Christopher J. Klein
Hearing Site: San Juan, PR
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| 20-00928 | 11/24/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Julian Pace
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Langfred W. White, Cindy L. Anderson, Barry Allen Barr
Hearing Site: Jacksonville, 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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| 21-02088 | 11/24/2021 | Claimant(s): Holly Hendrix
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
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