| 11-03745 | 06/11/2013 | Claimant(s): Harry Bishop
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Robert T. Allen
Hearing Site: Columbia, SC
|  | Expungement |
| 12-00316 | 06/05/2013 | Claimant(s): Deanna Smith, Eric Smith
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Kevin R. Zehe, Joseph Edelstein, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Expungement |
| 11-03244 | 05/31/2013 | Claimant(s): Robert Adams
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Monica I. Salis
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-04768 | 02/25/2013 | Claimant(s): David Bobo
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Joseph V. Simeri
Hearing Site: Louisville, KY
| | $103,290 |
| 11-03504 | 12/21/2012 | Claimant(s): Awilda Vilches Reyes
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Fred Abramoff
Hearing Site: San Juan, PR
| | Expungement |
| 11-00443 | 12/12/2012 | Claimant(s): Hugo R. Scala Jr. Rollover IRA, Scala Family Limited Partnership, Hugo R Scala Gift Trust DTD 12/23/1966, Hugo R. Scala Jr. Trust DTD 7/28/03
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Charles Hoffman, David E. Mowry, Alexander Myers
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02554 | 11/08/2012 | Claimant(s): Peter Babcock
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Sabrina Raquel Scott
Hearing Site: Atlanta, GA
| | Expungement |
| 11-00087 | 10/30/2012 | Claimant(s): Marvin Adler, Theda Adler, The Theda Adler Trust U/A/D 1/15/97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau, Randi Perry Spallina
Arbitrator(s): Kalman J. Lester, William Kent Brown, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-03555 | 02/27/2012 | Claimant(s): John V. D'Aversa as personal rep.
Claimant Lawyers(s): John V. D'Aversa, Personal Rep.
Respondent(s): Jeff Howard, Jim Lenaghan
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
| | $0 |
| 10-01098 | 09/13/2010 | Claimant(s): Eugene Krzywicki, IRA
Claimant Lawyers(s): Eugene Krzywicki
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
