| 14-01221 | 12/24/2014 | Claimant(s): Douglas Adams
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert A. Sauerberg, David E. Mowry, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 14-01025 | 12/15/2014 | Claimant(s): Grant Gochin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | |
| 12-00756 | 12/11/2014 | Claimant(s): Bernie Bernheim APC Retirement Trust
Claimant Lawyers(s): Nazo S. Semerdjian
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-03047 | 12/04/2014 | Claimant(s): Roni Raviv, Blue Sky Resources
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nicolas S. Komyati
Arbitrator(s): Robert E. Anderson, Deborah A. Shapiro, David A. Schwarz
Hearing Site: New York, NY
| | Expungement |
| 13-02089 | 12/04/2014 | Claimant(s): Mary Osborne
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Rody P. Biggert
Hearing Site: Chicago, IL
| | Expungement |
| 13-02776 | 12/02/2014 | Claimant(s): Pamela Mok, M.D. Roller IRA, M.D. SEP IRA, Paul Wood, Paul Wood and Pamela Mok
Claimant Lawyers(s): Paul A. Wood
Respondent(s): UBS Financial Services Inc., Maxwell Bardeen, Wyatt Larsen
Respondent Lawyers(s): Michael Torres
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 14-00921 | 12/01/2014 | Claimant(s): Thomas Wheeler
Claimant Lawyers(s): Jeff Kern
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 12-01195 | 11/21/2014 | Claimant(s): Kenneth Janoff
Claimant Lawyers(s): John H. Chambers
Respondent(s): UBS Financial Services Inc., Mark Loder
Respondent Lawyers(s): Robert J. Bocko, Thomas T. Loder
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
| | Expungement |
| 13-03044 | 11/20/2014 | Claimant(s): UBS Financial Services Inc., UBS AG
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Terence Reynolds
Respondent Lawyers(s): Francis M. Curran
Arbitrator(s): Arthur S. Joseph, Joseph I. Liebman, Ernesto Jose Mejer
Hearing Site: New York, NY
| | |
| 12-01795 | 11/14/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Jane D. Lollis, Joseph Patrick Cottingham, Edward John O'Brien
Hearing Site: Louisville, KY
| | |
