| 14-03770 | 03/30/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): David Lavine
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): James A. Parker, Ann Bradford Ligums, G. Dennis Sheehan
Hearing Site: Houston, TX
| | |
| 14-03289 | 03/23/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Thomas G. Draths
Respondent(s): Jose Riveron
Respondent Lawyers(s): Adis L. Riveron
Arbitrator(s): Marie G. Peterson
Hearing Site: Miami, FL
| | |
| 15-00347 | 03/21/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian Hormozi
Respondent(s): Michael Martin
Respondent Lawyers(s): Michael Martin
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 14-03712 | 03/09/2016 | Claimant(s): David Levine
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Patricia A. DeWitt
Hearing Site: New York, NY
| | |
| 15-00934 | 03/08/2016 | Claimant(s): Jay Maltby
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Ray J. Grzebielski, James D. Adducci, Harry Edward Resis
Hearing Site: Chicago, IL
| | |
| 15-01493 | 02/22/2016 | Claimant(s): Anita D'Aguilar, David Schachter
Claimant Lawyers(s): Christine A. Page
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | |
| 14-02560 | 02/08/2016 | Claimant(s): Herbert Jablin
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Lawrence M. Green, James W. Geiger, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | |
| 15-00428 | 01/19/2016 | Claimant(s): Scott Blair
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 15-02292 | 01/07/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Edward Painter
Respondent Lawyers(s): Edward Painter
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
| | |
| 15-01235 | 12/31/2015 | Claimant(s): Andrew Worthington, Thomas Lips
Claimant Lawyers(s): Lawrence E. Fenster
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Lincoln W. Craighead, Robert E. Anderson, Marissa A. Santangelo
Hearing Site: Hartford, CT
| | |
