| 14-02832 | 03/16/2015 | Claimant(s): Andrew Gall
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | |
| 13-01207 | 03/16/2015 | Claimant(s): James Wick
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas A. Peterson, Patricia G. Parthe, Louis M. Parker
Hearing Site: Phoenix, AZ
|  | Expungement |
| 12-03425 | 03/10/2015 | Claimant(s): Randy Karp & Associates Defined Benefit, Randy Karp Rollover IRA
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Harry J Saginaw, Lawrence R. Maxwell, Melvin H. Wolovits
Hearing Site: Dallas, TX
| | Expungement |
| 14-01895 | 03/10/2015 | Claimant(s): Emily Martin
Claimant Lawyers(s): Emily Shay Martin
Respondent(s): UBS Financial Services Inc., Rainey Miller
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $40,000 |
| 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
| | |
| 13-02773 | 03/03/2015 | Claimant(s): Lee Roy Cosper Trust
Claimant Lawyers(s): Jeffrey Ansley
Respondent(s): Chad Bushaw, UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): G. Maynard Green, George Young Banks, Michael Wayne Johnston
Hearing Site: Dallas, TX
| | $0 |
| 14-00021 | 02/23/2015 | Claimant(s): Casto Colldelrio
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): James S. Hazard, Mary P. Bass, Paul George Huck
Hearing Site: New York, NY
| | |
| 13-01817 | 02/20/2015 | Claimant(s): Sadie's Surprise
Claimant Lawyers(s): Gary Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02381 | 02/20/2015 | Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01125 | 02/10/2015 | Claimant(s): Ned Gerstman, Ned Gerstman Ltd POA for Ethan Gerstman
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Piedad A. Bernikow, Kenneth J. Horowitz, Joseph H. Cerame
Hearing Site: Newark, NJ
| | Expungement |
