| 16-02280 | 12/26/2017 | Claimant(s): Alfonso Barrera, Ana Barrera, Laura Barrera, Marisa Barrera, Veronica Barrera, West Houston 2 Defined Benefit Plan, West Houston Plastic Surgery Defined
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Daniel Kersten, Edith Schoenberger, Eugene Schoenberger, UBS Financial Services Inc., Stephanie Kersten
Respondent Lawyers(s): Alise J. Henry, Lars K. Soreide
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Robert Sullivan Tyler
Hearing Site: Houston, TX
|  | Expungement |
| 16-03332 | 11/29/2017 | Claimant(s): Steven Pritchard
Claimant Lawyers(s): Richard A Lewins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): William A. Allen, Royal B. Lea, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 16-01800 | 11/01/2017 | Claimant(s): Jeffrey Rombs IRA, Kathrine Driscoll IRA, Michael Rombs IRA, Ralph Auguillard IRA, Reginald Bardin IRA, Ronnie Rombs IRA, Stephen Driscoll IRA, Van Russell IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Christopher Gammon, Jackie Wadsworth, Joshua Patterson, Michael Spears, Stacey Rognon, IMS Securities.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Jeffrey R. Jury, Stephen James Cavanaugh, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $2,304,540 |
| 15-02110 | 11/23/2016 | Claimant(s): Erin Tessman, Harold Tessman
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Kris Maksimovich
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Lawrence R. Maxwell, Sheldon Weinhaus, Brian James Tagtmeier
Hearing Site: Little Rock, AR
| | Expungement |
| 15-02213 | 09/07/2016 | Claimant(s): Cory Fein, Kathryn Kersh, Paula Ebow, Sylvia Vargas, Caddell & Chapman
Claimant Lawyers(s): Cory S. Fein
Respondent(s): UBS Financial Services Inc., Michael Karchmer
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 14-02730 | 07/19/2016 | Claimant(s): Melanie Mackin Ledesma, Estate of Roberto Ledesma
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Cindy L. Anderson, Brian James Tagtmeier, Javier Miguel Uribe
Hearing Site: San Juan, PR
| | $312,291 |
| 14-00862 | 02/18/2016 | Claimant(s): Carmelo Nieves, Nelly Cruz, Caguas Mechanical Contrators
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of P R
Respondent Lawyers(s): Joel M. Everest, Roberto Quinones-Rivera
Arbitrator(s): Barry David Thorpe, Brian James Tagtmeier, Frank A. Little, Jr.
Hearing Site: San Juan, PR
| | Expungement |
| 14-00987 | 11/16/2015 | Claimant(s): Alice Saffell, Cynthia Peterson
Claimant Lawyers(s): Alice Saffell, Cynthia A. Peterson
Respondent(s): Jack Kusch, Madison Avenue Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Donald K. Eckhardt, Brian James Tagtmeier, Elena DiIorio
Hearing Site: Houston, TX
| | $15,000 |
| 12-02570 | 10/10/2014 | Claimant(s): Craig D. Porter Family Ltd. Partnership
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): UBS International.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Antoinette M. Romano, Brian James Tagtmeier, Montie G. Grimes
Hearing Site: Houston, TX
| | Expungement |
| 11-00472 | 11/27/2013 | Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
