| 16-02036 | 11/29/2017 | Claimant(s): Michael Ratner, UBS Credit Corp.
Claimant Lawyers(s): Arthur C. Koski, Michael D. Lee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): James W. Geiger, Leonard Michael Cusano, Andrew F. Greitz
Hearing Site: Boca Raton, FL
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| 17-02544 | 11/21/2017 | Claimant(s): Tracy King
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Michael L. Lyons
Hearing Site: Louisville, KY
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| 17-00511 | 11/17/2017 | Claimant(s): Bradley Barnblatt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 17-01468 | 11/15/2017 | Claimant(s): Edward Miller
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
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| 15-00100 | 10/26/2017 | Claimant(s): James Springer
Claimant Lawyers(s): Jarrod J. Malone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Richard S. Zaifert, Patrick D. King, Jack A. Helms
Hearing Site: Tampa, FL
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| 17-01039 | 10/24/2017 | Claimant(s): Manish Mehta
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): John P. Cullem
Hearing Site: Raleigh, NC
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| 17-00195 | 10/17/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corporation
Claimant Lawyers(s): James L. Komie
Respondent(s): David Fagenson
Respondent Lawyers(s): David Howard Fagenson
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 16-02726 | 10/13/2017 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): Michael T. West
Respondent(s): Alex Lindig, Andrew Heringman, Elena Macedonio, Garrett Donahue, Silvia Donahue, Andu Ltd/Lindig Holding, Andu Ltd/Pungus Donahue Holding, Andu Ltd/Pungus Macedonio Holding, Andu Ltd/Pungus/Garrett Donahue Holdi, Andu Ltd/Pungus/Lindig Grandchildren, Andu Ltd.LP/Macedonio Holding, G.P. Pungus, GP Pungus Lindig Account, GP Pungus/General Separate Account, GP Pungus, Ltd., GP Pungus/Donahue Account, GP Pungus/Macedonio Account, GP Pungus/LP Lindig Grandchildren's, Mace Enterprises, Sunwet Enterprises., et al
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-00760 | 10/13/2017 | Claimant(s): Richard Lafferty
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Philip Levine
Hearing Site: Newark, NJ
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| 17-00893 | 10/11/2017 | Claimant(s): Matthew Shafer
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David G. Pittinos, Richard S. Herman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
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