| 10-03855 | 03/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Craig Marcello
Respondent Lawyers(s): Craig S. Marcello
Arbitrator(s): Robert T. Allen
Hearing Site: Charlotte, NC
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| 10-02070 | 03/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Edna Jackson
Respondent Lawyers(s): Daniel D. Hill
Arbitrator(s): Leon Fox
Hearing Site: Minneapolis, MN
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| 10-05239 | 03/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Charles Norvell
Respondent Lawyers(s): Charles R. Norvell
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 10-05050 | 03/07/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Isom
Respondent Lawyers(s): Robert C. Isom
Arbitrator(s): Peter B. Vaden
Hearing Site: Columbia, SC
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| 10-03774 | 02/01/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Michael Guidroz
Respondent Lawyers(s): Michael Paul Guidroz
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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| 09-07225 | 01/26/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T Roche
Respondent(s): Anthony Carpenter
Respondent Lawyers(s): Anthony Carpenter
Arbitrator(s): Gary M. Landau
Hearing Site: Tampa, FL
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| 09-03582 | 01/18/2011 | Claimant(s): Jason Schall
Claimant Lawyers(s): Mitchell Willoughby
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Menendez
Arbitrator(s): Glenn R. Oxner, Patricia Ann Tracey, Walter J. Wylie
Hearing Site: Columbia, SC
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| 10-03894 | 01/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Gilbert Pugliano
Respondent Lawyers(s): Gilbert Birdinground Pugliano
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
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| 09-04107 | 12/29/2010 | Claimant(s): Jeffrey Bischoff
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer M. Horowitz
Arbitrator(s): Royce Russell, Zuhayr A. Moghrabi, Gary Leonard Leventhal
Hearing Site: New York, NY
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| 10-02582 | 12/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Allison Tarpley, UBS Financial Services Inc.
Respondent Lawyers(s): John M. Phalen, Molly Tatman
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
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