| 16-02952 | 01/09/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Roger Bell
Respondent Lawyers(s): Roger Ericson Bell
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 16-02365 | 12/23/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Timothy Fannin
Respondent Lawyers(s): Timothy Fannin
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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| 16-02320 | 12/19/2016 | Claimant(s): Eric Bodner
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 16-01625 | 12/12/2016 | Claimant(s): Scott Blair
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 15-02579 | 12/06/2016 | Claimant(s): Michael Zirpolo, Thomas Fayad
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): UBS Financial Services Inc., UBS Credit Corp.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Martin A. Edelstein, Raymond A. Urci, Steven C. Kasarda
Hearing Site: New York, NY
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| 16-00860 | 11/23/2016 | Claimant(s): Joshua Schneider
Claimant Lawyers(s): George S. Mahaffey
Respondent(s): Jot Khalsa, UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley, Jot Kaur Khalsa
Arbitrator(s): Donald N. Tolin, Paul A. Krepinski, Michael Lancaster Garcia
Hearing Site: Albuquerque, NM
| | Expungement |
| 14-02603 | 11/04/2016 | Claimant(s): Harry Hadden
Claimant Lawyers(s): Steven M McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Cohen, Randall S. Strause, James Douglas Wilbanks
Hearing Site: Louisville, KY
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| 15-03363 | 10/07/2016 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 16-01281 | 10/06/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Robert Kuhn
Respondent Lawyers(s): Robert M. Kuhn
Arbitrator(s):
Hearing Site: Dallas, TX
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| 16-00164 | 09/27/2016 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Deborah Gale Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Scott K. Shaw, Nickolas F. Monteforte, John Francis Markuns
Hearing Site: Boston, MA
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