| 15-00221 | 09/16/2015 | Claimant(s): Brett Hina
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Lisa Catalano
Hearing Site: New York, NY
| | |
| 14-02703 | 08/04/2015 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Canela Greenwood
Respondent Lawyers(s): Canela N. Greenwood
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | |
| 14-03544 | 08/04/2015 | Claimant(s): Vaughan Scott
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
| | |
| 14-03406 | 06/04/2015 | Claimant(s): David Reiser, Robert Dicolo
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
| | |
| 14-01416 | 06/01/2015 | Claimant(s): Robert Armstrong
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): D. Bruce Shine
Hearing Site: Louisville, KY
| | |
| 14-03524 | 05/11/2015 | Claimant(s): John Orcutt, UBS Financial Services Inc.
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Earl Flowers
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Elizabeth A. Copley, Steven A. Wawra, James M. Goldberg
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-00222 | 04/28/2015 | Claimant(s): Levi Nagel
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lisa Bertain
Arbitrator(s): Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 14-02493 | 04/20/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ian L. Reynolds
Respondent(s): Robert Burke
Respondent Lawyers(s): Robert Joseph Burke
Arbitrator(s): Janet Stern Solomon
Hearing Site: Washington, DC
| | |
| 14-01020 | 04/10/2015 | Claimant(s): Susan Landolt
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): UBS Financial Services Inc., Ronald Ferrelli
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin H. Zern, Samuel Joseph Gottlieb, Kevin P. Feerick
Hearing Site: New York, NY
| | |
| 14-03105 | 04/10/2015 | Claimant(s): Joel Rogovin
Claimant Lawyers(s): Nicolis S. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
