| 17-01395 | 01/11/2018 | Claimant(s): John Santi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): John B. Roe
Hearing Site: Memphis, TN
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| 17-01240 | 01/05/2018 | Claimant(s): Patrick Henry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
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| 17-03119 | 01/05/2018 | Claimant(s): Michael C. Seamands
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 17-00532 | 12/28/2017 | Claimant(s): Aaron Delsignore
Claimant Lawyers(s): Cory Braddock
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley
Arbitrator(s): Michael John Florio
Hearing Site: Las Vegas, NV
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| 17-02976 | 12/26/2017 | Claimant(s): Michael A. Sabota
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 17-00545 | 12/21/2017 | Claimant(s): Thomas McInerney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Sean J. Coughlin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
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| 17-02302 | 12/20/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Stephen Wood
Respondent Lawyers(s): Stephen Douglas Wood
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 17-00516 | 12/19/2017 | Claimant(s): Michael Treinen, Sandra Dalton, William Bahney
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 17-02162 | 12/08/2017 | Claimant(s): Michael Kanigher
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 16-01946 | 12/06/2017 | Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha W. Mahoney
Arbitrator(s): Robert E. Jenks, Pamela Jane Koslow, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
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