| 12-01222 | 10/03/2014 | Claimant(s): Ana Pardo, Laura Rodriguez, Manuel Corzo, Rosa Perez Rodriguez, Sofia Perez Brennan, Jaime P. Brennan & Liduvina R. De Perez, Luis A. Rotger & Dolly M. De Argueso
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Jerrold Levine, Richard J. Kaplan
Hearing Site: San Juan, PR
|  | Expungement |
| 14-01731 | 10/01/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 13-01540 | 09/26/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David G. Smitham
Respondent(s): Brendon Lyden, Mark Ginsberg
Respondent Lawyers(s): Brendon John Lyden, Loretta M. Gastwirth
Arbitrator(s): Vincent C. Pangia, Thomas Michael Gandolfo, Mary Julia O'Connell
Hearing Site: New York, NY
| | $0 |
| 13-01941 | 09/24/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Bruce Branstine
Respondent Lawyers(s): Bruce C. Branstine
Arbitrator(s): Alan Stamm, Jeffrey E. Skogsbergh, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 12-03049 | 09/24/2014 | Claimant(s): Madeleine Perricone
Claimant Lawyers(s): Madeleine Perricone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Kenneth Dymond, Paul Smith Besson, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
| 13-02451 | 09/22/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael Braun
Respondent(s): David Chun
Respondent Lawyers(s): David W. Chun
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 13-01805 | 09/11/2014 | Claimant(s): Robert Regna
Claimant Lawyers(s): Jeffrey W. Herrmann
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Robert E. Anderson, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
| | Expungement |
| 14-00843 | 08/18/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Humberto Sirvent
Respondent Lawyers(s): Humberto D. Sirvent
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 13-01248 | 08/08/2014 | Claimant(s): Nicholas Maloof
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): David Ellis, Sandor I. Rabkin, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 14-00216 | 08/07/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): John P. Cullem, John R Kiefner, Oliver J. Janney
Hearing Site: Tampa, FL
| | |
