| 15-01983 | 09/16/2016 | Claimant(s): Jonette Lindberg
Claimant Lawyers(s): Jonette Lindberg
Respondent(s): Jean Couturier, J.P. Morgan Securities
Respondent Lawyers(s): Patrick King
Arbitrator(s): Kimberly A. Gilmour, Alise Johnson, Robert Eugene Doyle
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-01872 | 12/14/2012 | Claimant(s): Barbara Istas, James Istas
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Andrew R. Dick, Peter N. Thompson, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 09-05793 | 10/05/2011 | Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
| | $248,874 |
| 10-00993 | 09/14/2010 | Claimant(s): Diane Loper
Claimant Lawyers(s): Diane N. Loper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Milwaukee, WI
| | $0 |
| 09-06620 | 08/19/2010 | Claimant(s): Koch Construction.
Claimant Lawyers(s): Scott K. Porsborg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Bismarck, ND
| | $0 |
| 09-06414 | 04/28/2010 | Claimant(s): S. McKittrick Trust, TTEE Sharon McKittr
Claimant Lawyers(s): Sharon McKittrick Coulton
Respondent(s): David Goldberg, UBS Financial Services Inc., Loy McGowan, Scott Vehslage
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Frances D. Sheehy
Hearing Site: Boca Raton, FL
| | $2,225 |
| 09-01414 | 10/27/2009 | Claimant(s): Gayle Speights, Ray Speights
Claimant Lawyers(s): Cassidy L. Anderson
Respondent(s): UBS Financial Services Inc., Robert Johnston
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Lawrence M. Oberdank
Hearing Site: Birmingham, AL
| | $213 |
