| 23-00386 | 08/02/2024 | Claimant(s): Steward Partners Investment Solutions
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Colton Jacob
Respondent Lawyers(s): Robert E. Linkin
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 23-00384 | 07/24/2024 | Claimant(s): Steward Partners Investment Solutions
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Vincent Fuchs
Respondent Lawyers(s): Robert E. Linkin
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 17-00361 | 01/10/2022 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): David Morris
Respondent Lawyers(s): David J. Morris
Arbitrator(s): Theodore W. Wrobleski, Jerome K. Rumps, Richard Russell Perlman
Hearing Site: Chicago, IL
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| 16-01948 | 09/20/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Carlos Rodriguez
Respondent Lawyers(s): Carlos A. Rodriguez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
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| 12-00554 | 05/12/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Wells Fargo Advisors, David Kinnear
Respondent Lawyers(s): Gary I. Blackman
Arbitrator(s): G. Gale Roberson, Robert J. Larson, Rody P. Biggert
Hearing Site: Chicago, IL
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| 10-05717 | 11/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Cruz
Respondent Lawyers(s): James L. Cruz
Arbitrator(s): Ilisa J. Smukler
Hearing Site: Boca Raton, FL
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| 11-02681 | 09/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): William French III
Respondent Lawyers(s): William Henry French III
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
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| 10-05360 | 09/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bernard (Bob) L. Loring, Charles Hoffman, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
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| 12-01028 | 08/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Jay Nisbet
Respondent Lawyers(s): Jay Michael Nisbet
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 10-02325 | 12/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Frank Bodi
Respondent Lawyers(s): Harry O. Channon
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cleveland, OH
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