| 08-02012 | 04/07/2010 | Claimant(s): Alva Thaning
Claimant Lawyers(s): James C. Bridgman
Respondent(s): UBS Financial Services Inc., UBS/Paine Webber, UBS/Paine Webber Partner's Plus
Respondent Lawyers(s): Walter M. Stella
Arbitrator(s): Herb Schwartz, Paul D. Gutierrez, M. Scott Donahey
Hearing Site: San Francisco, CA
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| 08-03813 | 04/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Brian Prost
Respondent Lawyers(s): Brian E. Prost
Arbitrator(s): Bernard S. Carrey, Oscar W. Carlson, Duncan H. Cameron
Hearing Site: Tampa, FL
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| 08-04786 | 02/16/2010 | Claimant(s): Christopher Cohn, Laurens Rhinelander, Simon Lewis
Claimant Lawyers(s): Erwin Shustak
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew J. Ceresney
Arbitrator(s): Anatoly "Tony" Zuban, Deanna Margaret Veitia, Michael D. Briggs
Hearing Site: San Diego, CA
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| 08-04976 | 02/09/2010 | Claimant(s): Albert LaCava
Claimant Lawyers(s): Albert V. LaCava
Respondent(s): Bruce Dyer, John Egan, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Robert G. Conway, Marc A. Winters, John T. Meredith
Hearing Site: Cleveland, OH
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| 09-00066 | 08/20/2009 | Claimant(s): Douglas Keyes
Claimant Lawyers(s): Douglas Michael Keyes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Miller
Arbitrator(s): Jeffry M. Bauer, Roland L. Olzark, Diane Allard Roegner
Hearing Site: Detroit, MI
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| 08-01786 | 06/10/2009 | Claimant(s): Radhakrishnan Nair
Claimant Lawyers(s): Radhakrishnan Nair
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): E. Andre Velez
Arbitrator(s): Cheryl H. Agris, Mary Elizabeth Satran, Eileen Devaney Leo
Hearing Site: Hartford, CT
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| 08-01694 | 05/22/2009 | Claimant(s): Gregory Glenn
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Amy Melner, UBS Financial Services Inc., Lisa Cregan
Respondent Lawyers(s): Tracy A. Miller
Arbitrator(s): Daniel J. Lind, Eugene R. Nielson, Edwin J. Buckley
Hearing Site: Phoenix, AZ
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| 06-04482 | 04/24/2009 | Claimant(s): William Scott
Claimant Lawyers(s): David Burton Brady
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Claidia M. Cohen
Arbitrator(s): John B. Ryan, John J. Bucko, Robert J. Bender
Hearing Site: Newark, NJ
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| 08-00476 | 03/05/2009 | Claimant(s): Eileen Valentino-Condon
Claimant Lawyers(s): Brett D. Sherman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Carol E. Weir, Saul Scheier, Mae A. Brudner
Hearing Site: New York, NY
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| 07-02997 | 01/28/2009 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Kevin O'Neil
Respondent Lawyers(s): Kevin P. O'Neil
Arbitrator(s): Dallas Whitney Coffman, Lane Steven Bucklan, James M Coakley
Hearing Site: Hartford, CT
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