| 14-00012 | 02/09/2015 | Claimant(s): Hazielinda Ghazali-Cho
Claimant Lawyers(s): David Glod
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): John A. Goc, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | |
| 13-01962 | 02/09/2015 | Claimant(s): Donald Bowman, Eileen Bowman
Claimant Lawyers(s): Steven M. Wilker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Linda I. Thomas, William J. Bender, James G. Dawson
Hearing Site: Seattle, WA
|  | $0 |
| 13-00609 | 02/03/2015 | Claimant(s): Rafael Diamond
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): Richard W. Cutler, Lisa Lograno, Sandra Holtzman
Hearing Site: New York, NY
| | |
| 13-02221 | 01/20/2015 | Claimant(s): Edward Schwartz
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-04285 | 01/16/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Doyle
Respondent Lawyers(s): Michael Britt Doyle
Arbitrator(s): Gary H. Kahn, Terri Coster Boesch, Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 13-03257 | 01/14/2015 | Claimant(s): Jayne Davison, Peter Davison
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Thomas Joseph Atkinson, Mitchel Weiss, Gerald Thomas Harper
Hearing Site: Jacksonville, FL
| | Expungement |
| 14-02216 | 01/12/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): John Clancy
Respondent Lawyers(s): John Francis Clancy
Arbitrator(s): Randall S. Strause
Hearing Site: Louisville, KY
| | |
| 13-02974 | 12/30/2014 | Claimant(s): Ashraf Elghandour
Claimant Lawyers(s): Brian D. Spector
Respondent(s): James Turner, UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Charles L. Prothero, Chris P. Drucker, Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 14-01222 | 12/29/2014 | Claimant(s): Scott Notowitz
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Robert A. Sauerberg, Walter John Chesney, Theodore Israel Herold
Hearing Site: Boca Raton, FL
| | |
| 13-00921 | 12/29/2014 | Claimant(s): Alfred Tombari
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Frances D. Sheehy
Hearing Site: Boca Raton, FL
| | Expungement |
