| 13-00141 | 03/06/2014 | Claimant(s): Jeffrey Sparks
Claimant Lawyers(s): David Marek
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Linda Yarden, Martin H. Zern, Barbara Sullivan-Parry
Hearing Site: New York, NY
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| 11-04112 | 07/30/2013 | Claimant(s): Orin Wexler
Claimant Lawyers(s): David Hirschberg
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Anthony Marchese, Harold I. Geringer, Brian Lawrence Berlandi
Hearing Site: New York, NY
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| 11-03855 | 06/27/2013 | Claimant(s): Darius Saib
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): LIoyd B. Chinn
Arbitrator(s): Howard J. Stiefel, Carole L. Green, Bernard J. McGuire
Hearing Site: New York, NY
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| 11-04305 | 04/26/2013 | Claimant(s): Ninos Andrews
Claimant Lawyers(s): Jonathan M Cyrluk
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Rachel B. Cowen
Arbitrator(s): Jerome F. Crotty, Jonathan Gorman Cook, Michael S. Jordan
Hearing Site: Chicago, IL
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| 11-02705 | 03/01/2013 | Claimant(s): Gregory Morris
Claimant Lawyers(s): Robert Kraus
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Martin Jay Siegel, Nancy S. Gerber, Barry Steven Port
Hearing Site: New York, NY
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| 10-05540 | 03/23/2012 | Claimant(s): Source Capital Group.
Claimant Lawyers(s): Mitchell H Cobert
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Robert Manfredo, Nancy Plesser Wendell, C. Kenneth Yoblon
Hearing Site: New York, NY
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| 09-06258 | 06/22/2011 | Claimant(s): Michael Bird
Claimant Lawyers(s): Charles A. Stewart
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lauren Malanga Casey
Arbitrator(s): Susan C. Lushing, Michael J. Contrastano, Lester Scott Garfinkel
Hearing Site: New York, NY
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| 09-04307 | 03/17/2011 | Claimant(s): Michael Brennan
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Philip M. Mandel, David S. Billet, Irene C. Warshauer
Hearing Site: New York, NY
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| 09-01067 | 01/06/2011 | Claimant(s): David Sacco
Claimant Lawyers(s): Jeffery L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Brian J. Burstin, Kevin B. Naughten, Robert Bartels
Hearing Site: New York, NY
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| 08-04888 | 10/20/2010 | Claimant(s): Stephen Finkelstein
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC, UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Earl S. Schwarz, Howard D. Jacob, Peter A. Kiefer
Hearing Site: New York, NY
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