| 09-02956 | 12/29/2009 | Claimant(s): Jose Fabian Severi & Ana Maria Silva JTW
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
|  | $16,213 |
| 08-03840 | 09/25/2009 | Claimant(s): Robert Carlton, Jr. Residuray Trust
Claimant Lawyers(s): Burleigh T. Kay
Respondent(s): UBS Financial Services Inc., William Rector
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Wesley C. Wilson
Hearing Site: Richmond, VA
| | $0 |
| 09-01078 | 09/15/2009 | Claimant(s): Elaine Lustig
Claimant Lawyers(s): Elaine B. Lustig
Respondent(s): Barry Pollara, UBS Financial Services Inc., Linda Inman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael H. McConihe
Hearing Site: Norfolk, VA
| | $1,510 |
| 09-00273 | 07/09/2009 | Claimant(s): Gary N. and Nancy M. Polasek
Claimant Lawyers(s): Gary N. Polasek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | $307 |
| 08-04206 | 07/08/2009 | Claimant(s): Marilyn Lea Brown
Claimant Lawyers(s): Marilyn Lea Brown
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald M. Macdonald
Hearing Site: Atlanta, GA
| | $0 |
| 08-01240 | 03/13/2009 | Claimant(s): Delta A. Harrison Trust, Eugene L. Harrison Trust
Claimant Lawyers(s): Brian J. Rayment
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven J. Balaban, Carroll O. Johnson, Helmut O. Wolff
Hearing Site: Oklahoma City, OK
| | $0 |
| 04-08590 | 12/03/2008 | Claimant(s): Kenneth Dean
Claimant Lawyers(s): Kenneth Eugene Dean
Respondent(s): Davis Denny, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Davis M. Denny, Randi Perry Spallina
Arbitrator(s): Michael Hendryx, Charles S. Chester, Sandra Lea McNally
Hearing Site: Houston, TX
| | $0 |
| 07-00715 | 09/28/2007 | Claimant(s): Luther Oakes
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Irwin S. Sugerman, Leon T. Roberts, Sam T. Heuer
Hearing Site: Jackson, MS
| | $0 |
