| 14-03528 | 07/26/2016 | Claimant(s): Kevin Hanna
Claimant Lawyers(s): Warren D. Hutchison
Respondent(s): Bradley Ross, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Sandor I. Rabkin, Catherine M. Gallagher, Thomas C. Tretter
Hearing Site: Boston, MA
|  | $225,000 |
| 12-03270 | 11/25/2015 | Claimant(s): Leona Tigar, Michael Tigar, Tigar Refrigeration Co..
Claimant Lawyers(s): Stephen Wald
Respondent(s): UBS Financial Services Inc., UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Chesley Oriel, Colette Manoil, Thomas C. Tretter
Hearing Site: Boston, MA
| | $0 |
| 13-00542 | 11/06/2014 | Claimant(s): John and Alys Krichavsky, Ken and Judith Boudreau
Claimant Lawyers(s): Edward Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas C. Tretter, Robert M. Singer, Edward Allison Downe
Hearing Site: Hartford, CT
| | Expungement |
| 12-04117 | 07/25/2014 | Claimant(s): Joel Haycock
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): Detwiler Fenton & Co.
Respondent Lawyers(s): Warren D. Hutchison
Arbitrator(s): Ronald L. Cheney, David Ellis, Thomas C. Tretter
Hearing Site: Boston, MA
| | $952,560 |
| 13-00049 | 04/09/2014 | Claimant(s): Patrick Cutter
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Gregory Friel, Steven Brewer
Respondent Lawyers(s): James B. Koch, Steven John Brewer
Arbitrator(s): Thomas C. Tretter
Hearing Site: Boston, MA
| | $0 |
| 11-01278 | 09/26/2012 | Claimant(s): Annette Mancini, Dominic Mancini
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Harvest Capital LLC
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Howard I. Wilgoren, B. J. Krintzman, Thomas C. Tretter
Hearing Site: Boston, MA
| | $158,250 |
| 07-01311 | 01/03/2008 | Claimant(s): William B. and Mary Connolly
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Victoria Tomaro, TFS Securities.
Respondent Lawyers(s): Russell Burnside
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Thomas C. Tretter
Hearing Site: Hartford, CT
| | $0 |
