| 18-03141 | 09/11/2019 | Claimant(s): Betty Bailey, Betty Bailey IRA
Claimant Lawyers(s): David W. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Lynne M. Gomez, Camille Morris Tankersley, Heather Gaile Layton
Hearing Site: Houston, TX
|  | $555,000 |
| 15-00744 | 02/10/2016 | Claimant(s): Harold Wallace, Nelda Wallace
Claimant Lawyers(s): Michael A. Moriarty
Respondent(s): Joseph Gutkowski
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): David G. Beerbower
Hearing Site: Houston, TX
| | Expungement |
| 08-04703 | 04/01/2010 | Claimant(s): Terry Green
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): John K. Boyce, Charles E. Munson, Byron G. Hannah
Hearing Site: Houston, TX
| | $0 |
| 09-02561 | 03/05/2010 | Claimant(s): Rose Weisz
Claimant Lawyers(s): Robert E. Goodman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Joshua D. Wallach, Larry J. Craddock, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 06-04621 | 10/05/2007 | Claimant(s): Christine McGinnis
Claimant Lawyers(s): Joseph J. Hroch
Respondent(s): Fredrick McGinnis, UBS Financial Services Inc.
Respondent Lawyers(s): James M. Kimbell, Paul D. Flack
Arbitrator(s): Nathan Levy, Mark C. Watler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
