| 20-00858 | 03/15/2021 | Claimant(s): William Serralles
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): Seth L. Finkel
Hearing Site: San Juan, PR
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| 20-01903 | 03/12/2021 | Claimant(s): James Shoffner
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
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| 20-03035 | 03/11/2021 | Claimant(s): Andrew Arnold
Claimant Lawyers(s): Brian Luther
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): James A. McIntosh
Hearing Site: Louisville, KY
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| 20-02248 | 03/09/2021 | Claimant(s): Karen Vargas
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 20-02477 | 02/24/2021 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
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| 20-02289 | 02/22/2021 | Claimant(s): Mark Zeller
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 20-02742 | 02/19/2021 | Claimant(s): Jeffrey Rodriguez-Aponte
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 20-01856 | 02/18/2021 | Claimant(s): RICARDO EBOLI-KODESH
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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| 20-02436 | 02/12/2021 | Claimant(s): Jason Feldman
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 19-03049 | 01/19/2021 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
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