| 09-06580 | 10/11/2010 | Claimant(s): Thomas Tripp
Claimant Lawyers(s): B. Scott Whipple
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Keith C. Folkman, Gary F. Purpura, Gregory N. Smith
Hearing Site: Portland, OR
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| 10-02401 | 10/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Shannon Ness-Jackson
Respondent Lawyers(s): Shannon M. Ness-Jackson
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
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| 10-01784 | 09/21/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Patrick Garcia
Respondent Lawyers(s): Patrick A. Garcia
Arbitrator(s): Saul Scheier
Hearing Site: Newark, NJ
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| 10-01788 | 09/08/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Richmond, VA
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| 09-01560 | 08/20/2010 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Neda Ataie
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer Lynn Nutter
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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| 09-02619 | 07/22/2010 | Claimant(s): Matthew Weisberg
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John R. Main, Harvey Frank, Patrick R. Sughroue
Hearing Site: Detroit, MI
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| 09-07249 | 07/21/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Robert Szigeti
Respondent Lawyers(s): Robert Joseph Szigeti
Arbitrator(s): Walter M. Schackman
Hearing Site: Philadelphia, PA
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| 10-00956 | 07/07/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Lloyd Graham
Respondent Lawyers(s): Lloyd William Graham
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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| 09-03321 | 05/11/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Richard Lee
Respondent Lawyers(s): Richard Lee
Arbitrator(s): Norman L. Weiss, Marie Paulette Levine, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
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| 09-00593 | 04/09/2010 | Claimant(s): Lois Lovins
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Elizabeth A. Copley, Glen W. Hanne, Alfred S. Samulon
Hearing Site: Los Angeles, CA
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