| 20-00349 | 07/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): James Shafferman
Respondent Lawyers(s): James Frederick Shafferman
Arbitrator(s): Jeffrey Ackermann
Hearing Site: New Orleans, LA
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| 19-03285 | 07/09/2020 | Claimant(s): Michael Greenstone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
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| 20-00327 | 07/07/2020 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 19-03802 | 06/26/2020 | Claimant(s): Nicholas Erwin
Claimant Lawyers(s): Therese L. Surprenant
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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| 19-02195 | 06/23/2020 | Claimant(s): Ralph Marra
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew Gelfand, Melissa Gworek
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
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| 20-00245 | 06/17/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A Perez
Respondent(s): Alex Herrera
Respondent Lawyers(s): Alex Gerardo Herrera
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Boca Raton, FL
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| 19-03322 | 06/10/2020 | Claimant(s): Haydee Delgado
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 19-02226 | 06/02/2020 | Claimant(s): Robert Dolle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 19-03283 | 05/26/2020 | Claimant(s): Michael Greenstone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
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| 20-00601 | 05/01/2020 | Claimant(s): Mark Kravietz
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
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