15-02579 | 12/06/2016 | Claimant(s): Michael Zirpolo, Thomas Fayad Claimant Lawyers(s): Ethan A. Brecher Respondent(s): UBS Financial Services Inc., UBS Credit Corp. Respondent Lawyers(s): James L. Komie Arbitrator(s): Martin A. Edelstein, Raymond A. Urci, Steven C. Kasarda Hearing Site: New York, NY
| | |
16-00254 | 05/12/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp Claimant Lawyers(s): James L. Komie Respondent(s): Michael Dinapoli Respondent Lawyers(s): Michael James Dinapoli Arbitrator(s): Sandra Gale Behrle Hearing Site: New York, NY
| | |
14-01487 | 10/08/2014 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James L. Komie Respondent(s): Respondent Lawyers(s): Arbitrator(s): Elizabeth Gilbert Hearing Site: New York, NY
| | |
13-00989 | 08/22/2013 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James L. Komie Respondent(s): Patrick Colligan Respondent Lawyers(s): Patrick Colligan Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY
| | |
11-01520 | 06/15/2012 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James L. Komie Respondent(s): Gustavo Del Valle Respondent Lawyers(s): Harold D. Vicente-Colon Arbitrator(s): Reinaldo Royo, Kathryn M. Welsh, Jeffrey R. Roth Hearing Site: San Juan, PR
| | |
11-01502 | 05/04/2012 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James L. Komie Respondent(s): Respondent Lawyers(s): Arbitrator(s): Irving M. Shlesinger, Karla Y. Vogel, David Blair Sinyard Hearing Site: Atlanta, GA
| | |
11-02095 | 01/12/2012 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James L. Komie Respondent(s): Harold Sheehan Respondent Lawyers(s): Harold A. Sheehan Arbitrator(s): Beth Rackley Hesselson Hearing Site: Cleveland, OH
| | |
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
| | |
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
| | |
07-02816 | 07/31/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Joseph E. Gehring Respondent(s): UBS Financial Services Inc., Michael Fisher Respondent Lawyers(s): James L. Komie Arbitrator(s): Edward Baer, Carol E. Weir, John N. Polakas Hearing Site: New York, NY
| | |