| 16-01224 | 09/06/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): Robert Hirsch
Respondent Lawyers(s): Robert M Hirsch
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
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| 16-00727 | 08/17/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Ronald Cole
Respondent Lawyers(s): Ronald Scott Cole
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 14-02839 | 08/05/2016 | Claimant(s): Michael Taylor
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maryanne M. Esser, Montie G. Grimes, Thomas D. Cordell
Hearing Site: Houston, TX
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| 14-01044 | 08/04/2016 | Claimant(s): Kenneth Blumenfeld
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeffrey E. Skogsbergh, Susan B. Gans-Smith, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
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| 15-03205 | 08/02/2016 | Claimant(s): Todd Kissel
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed, Kathryn D. Perreault
Arbitrator(s): Howard J. Stiefel, Dolores D. Balsamo, Kenneth Paul Price
Hearing Site: New York, NY
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| 12-00554 | 05/12/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Wells Fargo Advisors, David Kinnear
Respondent Lawyers(s): Gary I. Blackman
Arbitrator(s): G. Gale Roberson, Robert J. Larson, Rody P. Biggert
Hearing Site: Chicago, IL
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| 16-00254 | 05/12/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): James L. Komie
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Michael James Dinapoli
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 15-00833 | 05/06/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alan Romero
Respondent Lawyers(s): Alan Michael Romero
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 15-01778 | 05/06/2016 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edward Baer, William G. Binckes, Howard L. Sobel
Hearing Site: New York, NY
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| 15-02423 | 05/03/2016 | Claimant(s): Brad Kalas
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard A. Emirhanian, Jeffrey E. Skogsbergh, Robert Rosen
Hearing Site: Los Angeles, CA
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