| 10-05426 | 09/23/2011 | Claimant(s): Douglas Woodham
Claimant Lawyers(s): Paul T. Shoemaker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin L. Feinberg, Carole R. Bernstein, David Serko
Hearing Site: New York, NY
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| 10-04555 | 09/19/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Thomas Akins
Respondent Lawyers(s): F. Scott Pfeiffer
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
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| 11-00284 | 09/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Carl Drury
Respondent Lawyers(s): Carl M. Drury
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 11-01196 | 09/14/2011 | Claimant(s): UBS Financial Services Inc., UBS Financial Services Inc of Puerto Ric
Claimant Lawyers(s): Eileen O'Connell Arcuri, Megan A. Smith
Respondent(s): Carmen Sanchez
Respondent Lawyers(s): Carmen Sanchez
Arbitrator(s): Monroe Mitchel
Hearing Site: San Juan, PR
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| 10-05747 | 08/29/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Russell Hill
Respondent Lawyers(s): Russell Marvin Hill
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
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| 10-02753 | 08/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Joseph McMullen
Respondent Lawyers(s): Joseph D. McMullen
Arbitrator(s): Mary Beth Wheeler
Hearing Site: Chicago, IL
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| 10-02736 | 08/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Peter L. Altieri
Respondent(s): Gordon Hook
Respondent Lawyers(s): Joshua A. Hawks-Ladds
Arbitrator(s): Dorothy F. Gray, Aubrey Lees, Kyle Maldiner
Hearing Site: New York, NY
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| 10-01310 | 08/11/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Joseph Stanzi
Respondent Lawyers(s): Anthony J. Hartman
Arbitrator(s): Robert J. Scafuri, Thomas R. Skulina, Marianne L. Simpson
Hearing Site: Cleveland, OH
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| 10-04565 | 08/11/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Alicia Y. Hou
Respondent(s): James Queen
Respondent Lawyers(s): James Allen Queen
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
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| 11-00891 | 08/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Cataldo
Respondent Lawyers(s): Robert A. Cataldo
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
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