| 11-02740 | 11/01/2012 | Claimant(s): Wanda L. Lombardo Rev. Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Charles H. Maguire, Charles D. Underwood, Stephen P. Calardo
Hearing Site: Cincinnati, OH
|  | Expungement |
| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $0 |
| 09-01606 | 03/09/2010 | Claimant(s): Robert Jones
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Ford
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Charles D. Underwood, Robin R. Mathews, Matthew Harold Fields
Hearing Site: Columbus, OH
| | $568,798 |
| 08-00824 | 05/22/2009 | Claimant(s): David Yashon
Claimant Lawyers(s): David Yashon
Respondent(s): Brent Markley, Michael O'Dell, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, James C. Browning
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, Erick R. Zanner
Hearing Site: Columbus, OH
| | $46,000 |
