| 14-03105 | 04/10/2015 | Claimant(s): Joel Rogovin
Claimant Lawyers(s): Nicolis S. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 14-01222 | 12/29/2014 | Claimant(s): Scott Notowitz
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Robert A. Sauerberg, Walter John Chesney, Theodore Israel Herold
Hearing Site: Boca Raton, FL
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| 14-01731 | 10/01/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 13-02237 | 05/14/2014 | Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
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| 13-00145 | 08/22/2013 | Claimant(s): David Prockter
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark J. Happe
Hearing Site: New York, NY
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| 12-03633 | 05/03/2013 | Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quiones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorporated,PR
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Gerald Silverman, Stuart K. Furman, Robert Charles Stamm
Hearing Site: San Juan, PR
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| 12-02699 | 01/14/2013 | Claimant(s): Douglas Bott
Claimant Lawyers(s): Anna M. Rossi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
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