| 11-02405 | 08/23/2012 | Claimant(s): Arnold Schwedock Irrevocable Trust
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Thomas E. Duggan, Sanford S. Stevens, Barry Steven Port
Hearing Site: New York, NY
|  | $0 |
| 11-02687 | 08/22/2012 | Claimant(s): Nancy Potter, Nancy L. Potter IRA, Donna M. Wilson,Trustee Potter Family
Claimant Lawyers(s): Bradley A. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Chesley Oriel, John B. Kinsellagh, Susan E. Maloney
Hearing Site: Boston, MA
| | $50,000 |
| 10-03065 | 08/21/2012 | Claimant(s): Louis Kulekofsky, IRA
Claimant Lawyers(s): Alan J. Foxman
Respondent(s): Advest.
Respondent Lawyers(s): Bradley B Rounsaville
Arbitrator(s): Linda M. Granata, Lee Alan Rosenblum, Tina Scott Polsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03503 | 08/21/2012 | Claimant(s): Joe Forrest
Claimant Lawyers(s): Ronald W. Chapman
Respondent(s): Paul Arnold
Respondent Lawyers(s): Paul Arnold
Arbitrator(s): Bernard S. Carrey, Edith N. Dinneen, Diana A. Weiner
Hearing Site: Tampa, FL
| | $986,135 |
| 11-01514 | 08/21/2012 | Claimant(s): James Skidmore, Peggy Skidmore
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Craig Scott Bartlett, Edith M. Novack, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 11-00679 | 08/20/2012 | Claimant(s): S.R. Takayama
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman
Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King
Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa
Hearing Site: San Francisco, CA
| | Expungement |
| 11-00517 | 08/17/2012 | Claimant(s): David Olson
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Thomas Fife, Associated Securities Corp.
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Benjamin F. Breslauer, Robert F. Saint-Aubin, Alfred S. Samulon
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02319 | 08/17/2012 | Claimant(s): Ruben Irizarry Alcaraz
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nannette Berrios Haddock, Roberto C. Quinones-Rivera
Arbitrator(s): Bernard A. Becker, Stuart K. Furman, Louis David Huss
Hearing Site: San Juan, PR
| | Expungement |
| 10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair
Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 10-01756 | 08/16/2012 | Claimant(s): Frank Carroll
Claimant Lawyers(s): John R. Strawn
Respondent(s): Muhammad Khan, Bluechip Securities.
Respondent Lawyers(s): Muhammad A. Khan, President
Arbitrator(s): R. Lee Britton Jr., Carol Frances Relihan, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $446,130 |
