| 13-02367 | 11/11/2014 | Claimant(s): Robert Bee
Claimant Lawyers(s): Lance C McCardle
Respondent(s): Brian Lawrence, UBS Financial Services Inc.
Respondent Lawyers(s): George C. Freeman, Rebecca E. Swenson
Arbitrator(s): Frederick H. Bruce, Jeff Kilgore, Francis Frank Fontenot
Hearing Site: New Orleans, LA
|  | Expungement |
| 12-03168 | 11/10/2014 | Claimant(s): Ari Golan
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Bernard A. Becker, Lawrence S. Silver, Thomas Roy Spencer
Hearing Site: Miami, FL
| | Expungement |
| 13-00542 | 11/06/2014 | Claimant(s): John and Alys Krichavsky, Ken and Judith Boudreau
Claimant Lawyers(s): Edward Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas C. Tretter, Robert M. Singer, Edward Allison Downe
Hearing Site: Hartford, CT
| | Expungement |
| 13-00616 | 11/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Arturo Brook
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John F. Cordova, Ralph B. Perry, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 13-01903 | 10/29/2014 | Claimant(s): John Artuso, William Backus
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Kevin R. Zehe, Richard S. Hines, Eileen B. Vernon
Hearing Site: Cleveland, OH
| | Expungement |
| 13-01661 | 10/27/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Francis X. Dee
Respondent(s): Gary Padussis
Respondent Lawyers(s): E. Patrick McDermott
Arbitrator(s): Maurice R. Dunie, Ezio E. Borchini, J. Snowden Stanley
Hearing Site: Baltimore, MD
| | |
| 12-04007 | 10/21/2014 | Claimant(s): Don Herbert & Mary C. Herbert Trust
Claimant Lawyers(s): David Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Kenneth M. Jackson, Arthur L. Tepper, Edwin Joseph Rehrman
Hearing Site: Louisville, KY
| | Expungement |
| 13-00659 | 10/13/2014 | Claimant(s): Leonardo Llames
Claimant Lawyers(s): August M. Lorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-00167 | 10/09/2014 | Claimant(s): Eliezer Aldarondo-Ortiz
Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez
Respondent(s): Carlos Ortiz Leon, Edgardo Cabanillas, UBS Financial Services Inc., Miguel Ferrer, UBS Financial Services Inc Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Bernard A. Becker, Adrien Sapiro
Hearing Site: San Juan, PR
| | Expungement |
| 14-01487 | 10/08/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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