| 18-02212 | 08/10/2018 | Claimant(s): Eliot Simon
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
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| 17-03450 | 08/09/2018 | Claimant(s): Thomas Brandt
Claimant Lawyers(s): Eric Litow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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| 17-02982 | 07/31/2018 | Claimant(s): Shaun Nicholson
Claimant Lawyers(s): Owen Harnett
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Julius Z. Frager
Hearing Site: Cincinnati, OH
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| 16-02225 | 07/30/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Ean Lambert
Respondent Lawyers(s): Laurie Anton
Arbitrator(s): Robert J. Buchner
Hearing Site: Boca Raton, FL
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| 18-00280 | 07/25/2018 | Claimant(s): Thomas Alley
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Milton N. Gross
Hearing Site: Denver, CO
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| 17-03241 | 07/10/2018 | Claimant(s): Samuel Belsito
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael R. Gaico, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
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| 17-02749 | 07/05/2018 | Claimant(s): John Ledford
Claimant Lawyers(s): Steven J. Berry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
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| 18-00152 | 07/05/2018 | Claimant(s): Shawn Patt
Claimant Lawyers(s): Shawn Shyama Patt
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hillary A. Darnell
Arbitrator(s): Robert Rosen, David Maurer, Howard Clark Posner
Hearing Site: Los Angeles, CA
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| 17-02070 | 07/03/2018 | Claimant(s): Jenny Chu, Kenneth Jo
Claimant Lawyers(s): Sylvia M Scott
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley
Arbitrator(s): John Alen DeRosa, Michael M. Hachigian, Robert Ronne
Hearing Site: Los Angeles, CA
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| 18-00159 | 06/28/2018 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Linetee Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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