| 14-03694 | 06/06/2016 | Claimant(s): Candice Willoughby
Claimant Lawyers(s): Alan L. Sklover
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd Chinn
Arbitrator(s): Michael E. Olney, Richard W. Cutler, Amy Kaplan Eckman
Hearing Site: New York, NY
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| 13-03223 | 02/05/2016 | Claimant(s): Nwakerendu Uche
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): George Sommerfeld, Lynne M. Reid-McQueen, Edward W. Morris
Hearing Site: New York, NY
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| 14-00136 | 12/30/2015 | Claimant(s): Jeffrey Cahoon
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Izabel P. McDonald
Arbitrator(s): William G. Binckes, Richard A. Cini, Kumar Atmakuri Ram
Hearing Site: New York, NY
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| 13-03517 | 11/19/2015 | Claimant(s): Adam Frisch
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Clarence Smith, Alexandra L. Dunaif, James I. Berliner
Hearing Site: New York, NY
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| 14-02119 | 09/04/2015 | Claimant(s): Paul Schimmeck
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John B. Morgan, Howard J. Stiefel, Martin A. Edelstein
Hearing Site: New York, NY
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| 14-00213 | 04/16/2015 | Claimant(s): Philip Lefkowitz
Claimant Lawyers(s): David Hirschberg
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin Leblang
Arbitrator(s): Linda J. Baer, John B. Sprung, Peter Susser
Hearing Site: New York, NY
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| 13-00609 | 02/03/2015 | Claimant(s): Rafael Diamond
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): Richard W. Cutler, Lisa Lograno, Sandra Holtzman
Hearing Site: New York, NY
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| 12-01162 | 01/06/2015 | Claimant(s): James Kibbe
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Richard W. Vallario, Jeffrey F. Friedman, Carole L. Green
Hearing Site: New York, NY
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| 12-01161 | 11/06/2014 | Claimant(s): Adam Behlman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin LeBlang
Arbitrator(s): Charles P. Axelrod, Joseph W. Lodato, Linda J. Baer
Hearing Site: New York, NY
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| 13-01652 | 06/24/2014 | Claimant(s): Sergio Zanini
Claimant Lawyers(s): Sherry M. Shore
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Bernard M. Levine, Stephen J. Patti, Michael Jaffe
Hearing Site: New York, NY
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