| 17-01771 | 09/21/2017 | Claimant(s): Farhood Kasiri
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
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| 16-01948 | 09/20/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Carlos Rodriguez
Respondent Lawyers(s): Carlos A. Rodriguez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
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| 17-01602 | 09/19/2017 | Claimant(s): Leonard Kichler
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
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| 17-00085 | 09/18/2017 | Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): William C. Pack, Jeffrey M. Allen, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 16-02595 | 09/08/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Ted Hawks
Respondent Lawyers(s): Ted W. Hawks
Arbitrator(s): Steven M. Guttell
Hearing Site: Phoenix, AZ
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| 17-00114 | 08/30/2017 | Claimant(s): Peter Castro
Claimant Lawyers(s): Peter de Castro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Simon Levy
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
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| 15-01865 | 08/21/2017 | Claimant(s): Carlos Capacete
Claimant Lawyers(s): Judith Berkan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Christopher J. Klein, Jaime Rosario, Rafael Maldonado Perez
Hearing Site: San Juan, PR
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| 16-01981 | 08/21/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Alex G. Cavanaugh
Respondent(s): Samuel Reeves
Respondent Lawyers(s): Michael A. Nardella
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
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| 15-01379 | 08/03/2017 | Claimant(s): Catherine Bruno
Claimant Lawyers(s): Catherine Bruno
Respondent(s): UBS Financial Services Inc., Lawrence Zech
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, Seth Schwartz
Hearing Site: San Diego, CA
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| 16-03277 | 07/28/2017 | Claimant(s): Thomas Kirk
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, W. Preston Martin
Arbitrator(s): Mark S. Foster
Hearing Site: Wichita, KS
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