| 09-01613 | 12/14/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Joshua R. Pini
Respondent(s): Edward Walterhouse
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Howard Mark Klausmeier, Roman S. Gribbs, Phillip I. Levin
Hearing Site: Detroit, MI
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| 10-02399 | 12/03/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): Richard Griffler
Respondent Lawyers(s): Richard Elliot Griffler
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
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| 09-01374 | 11/29/2010 | Claimant(s): Zachary Sech
Claimant Lawyers(s): George M. Reul
Respondent(s): David Singer, Joseph Evelo, UBS Financial Services Inc., Linnell Sullivan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi, James L. Komie, Russell S. Sayre
Arbitrator(s): Emily J. Lewis, Regina F. Burch, A. Brian McIntosh
Hearing Site: Cincinnati, OH
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| 10-00080 | 11/15/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Dowley
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Maureen Beyers
Hearing Site: Denver, CO
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| 09-05673 | 11/10/2010 | Claimant(s): Joyce Aucoin
Claimant Lawyers(s): Joyce Aucoin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): James S. Munroe, Suzanne Viau Chamberlain, David L. Maislen
Hearing Site: Los Angeles, CA
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| 10-02707 | 10/29/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C Nowak
Respondent(s): Junius Beaver
Respondent Lawyers(s): Junius Verne Beaver
Arbitrator(s): Kevin R. McDermott
Hearing Site: Louisville, KY
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| 10-01563 | 10/25/2010 | Claimant(s): Paul Scileppi
Claimant Lawyers(s): Paul Scileppi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): John A. Astorina, Kenneth M. Felder, Suzanne Amy Zalewski
Hearing Site: New York, NY
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| 10-02359 | 10/25/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): David Lamarche
Respondent Lawyers(s): David Edward Lamarche
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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| 10-01798 | 10/22/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Gunning
Respondent Lawyers(s): Robert Holmes Gunning
Arbitrator(s): Martin Mandel
Hearing Site: San Francisco, CA
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| 10-01894 | 10/20/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Francisco Alberto Diaz
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Miami, FL
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