| 23-02999 | 11/01/2024 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
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| 23-02871 | 10/23/2024 | Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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| 23-02709 | 09/06/2024 | Claimant(s): Anthony Jezek
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Kathryn D. Perreault
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Oklahoma City, OK
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| 23-02768 | 08/09/2024 | Claimant(s): Francis Amsler, Marc Laborde
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
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| 23-02341 | 07/11/2024 | Claimant(s): Steven Mogul
Claimant Lawyers(s): Craig Riha
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
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| 23-02957 | 07/08/2024 | Claimant(s): Brian Bernhardt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 23-02335 | 06/21/2024 | Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Paul J. Burkhart, Stew Cohen, Jason Zachary Jones
Hearing Site: Boca Raton, FL
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| 23-02612 | 06/14/2024 | Claimant(s): Jeffrey Lashley
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Katelyn H. Wilson
Arbitrator(s): John W. Jones, David A. Schuler, Jeremy Deeken
Hearing Site: Kansas City, MO
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| 23-02833 | 06/14/2024 | Claimant(s): Kevin Wright, Shay Scruggs
Claimant Lawyers(s): Brent A. Burns
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Sherry R. Wetsch, Robert C. Rice, Bill Ray Haley
Hearing Site: Houston, TX
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| 23-03263 | 06/14/2024 | Claimant(s): Michael O'keefe
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
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