| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-02904 | 06/16/2014 | Claimant(s): Barbara Minahan, JLM Partnership
Claimant Lawyers(s): Augustine Rivera
Respondent(s): Charles Wilde, UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Thomas D. Nagle, Malcolm Edwin Whittaker, Cory Steven Fein
Hearing Site: Houston, TX
| | Expungement |
| 13-02972 | 06/16/2014 | Claimant(s): Nathan Batalion
Claimant Lawyers(s): Edward W. Vioni
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Christine Moore
Hearing Site: Albany, NY
| | Expungement |
| 13-03389 | 06/12/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): James Floyd, Mary Floyd
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00699 | 06/11/2014 | Claimant(s): Edward C. Hope IRA by Marilyn Hope sole, Marilyn J. Hope IRA, Hope Irrevocable Grantor Trust by Barbar
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Susan George
Arbitrator(s): Robert E. Anderson, Emily Diamond, Felicia T. Farber
Hearing Site: Newark, NJ
| | Expungement |
| 12-04089 | 06/06/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Royce Simpson
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Selenne Calhamer, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
| | |
| 12-01917 | 06/02/2014 | Claimant(s): Marcia Mossack
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Caroline K. Hall
Arbitrator(s): Linda J. Baer, Kumar Atmakuri Ram, Martin Deignan Dehler
Hearing Site: New York, NY
| | Expungement |
| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03319 | 05/15/2014 | Claimant(s): Jorge Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Carlos Bobonis Gonzalez
Arbitrator(s): S. William Gersten, Stuart K. Furman, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | |
| 13-00456 | 05/15/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Steven Meyer
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | |
