| 12-00376 | 03/09/2015 | Claimant(s): John Straus
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Joseph F. Kelley, Farrell C. Glasser, Martin A. Edelstein
Hearing Site: New York, NY
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| 12-01205 | 08/08/2013 | Claimant(s): Saratoga Capital Markets
Claimant Lawyers(s): Kevin Tingley
Respondent(s): J.P. Morgan Clearing Corp.
Respondent Lawyers(s): Lauren Fox
Arbitrator(s): Farrell C. Glasser, Susan E. Harkins, Sally Jane Sancimino
Hearing Site: New York, NY
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| 08-01675 | 05/11/2009 | Claimant(s): Walter and Hanni L. Lion
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David A. King
Arbitrator(s): Joan M. Traub, Farrell C. Glasser, Richard E. Castiglioni
Hearing Site: New York, NY
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| 07-03484 | 04/27/2009 | Claimant(s): Bear, Stearns & Co. LLC
Claimant Lawyers(s): Gene L. Small
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Alain Leibman
Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser
Hearing Site: New York, NY
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| 08-00007 | 12/19/2008 | Claimant(s): Patricia Sharp
Claimant Lawyers(s): Patricia M. Sharp
Respondent(s): Charles Rappold, Gregory Brennan, B-Trade Services LLC
Respondent Lawyers(s): James H. Forte
Arbitrator(s): Roger M. Deitz, Sandra Gale Behrle, Farrell C. Glasser
Hearing Site: New York, NY
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