| 13-01941 | 09/24/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Bruce Branstine
Respondent Lawyers(s): Bruce C. Branstine
Arbitrator(s): Alan Stamm, Jeffrey E. Skogsbergh, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 13-02451 | 09/22/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael Braun
Respondent(s): David Chun
Respondent Lawyers(s): David W. Chun
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
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| 14-00843 | 08/18/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Humberto Sirvent
Respondent Lawyers(s): Humberto D. Sirvent
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 14-00216 | 08/07/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): John P. Cullem, John R Kiefner, Oliver J. Janney
Hearing Site: Tampa, FL
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| 11-02403 | 08/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Paul Westphal
Respondent Lawyers(s): Michael H. Schaalman
Arbitrator(s): Evonne A. Hurst, Donald V. Anderson, Charles Orlove
Hearing Site: Milwaukee, WI
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| 13-03137 | 07/02/2014 | Claimant(s): Ralph Autuore
Claimant Lawyers(s): William H. Connolly
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA
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| 13-03389 | 06/12/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): James Floyd, Mary Floyd
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04089 | 06/06/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Royce Simpson
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Selenne Calhamer, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
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| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03319 | 05/15/2014 | Claimant(s): Jorge Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Carlos Bobonis Gonzalez
Arbitrator(s): S. William Gersten, Stuart K. Furman, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
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