| 13-02237 | 05/14/2014 | Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
| | |
| 13-02426 | 05/14/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Donna Tucker
Respondent Lawyers(s): James P. Cargill
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
| | |
| 13-03013 | 05/14/2014 | Claimant(s): David Lugo
Claimant Lawyers(s): Roberto Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Nancy J. Cliff, Jerrold Levine, John H. Claudy
Hearing Site: San Juan, PR
| | |
| 11-04211 | 05/12/2014 | Claimant(s): Carlos Capacete
Claimant Lawyers(s): Judith Berkan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carlos Bobonis Gonzalez
Arbitrator(s): Martin A. Feigenbaum, Todd M. Saunders, Mark A. Myers
Hearing Site: San Juan, PR
| | |
| 13-02889 | 05/01/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Richard Doretti
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Gary Timothy Haight, Christine A. Page, John B. La Rue
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-02198 | 04/29/2014 | Claimant(s): Thomas Nelson
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Diane M. Perry, Robert Zelinka, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00443 | 04/23/2014 | Claimant(s): Janice Rohan, Philip Hulse
Claimant Lawyers(s): Scott J. Link
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Anthony J. Soukenik, Albert J. Haller, Jack D. Olson
Hearing Site: St. Louis, MO
|  | Expungement |
| 12-03321 | 04/21/2014 | Claimant(s): Awilda Martinez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Puerto Rico
Respondent Lawyers(s): Nannette Berrios-Haddock, Roberto C. Quinones-Rivera
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
| | Expungement |
| 12-04356 | 04/14/2014 | Claimant(s): David Lugo
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Martin A. Feigenbaum, Gerald Silverman, Michael E. Pearson
Hearing Site: San Juan, PR
| | |
| 12-00759 | 04/04/2014 | Claimant(s): Edward Dulin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Richard Marc Weinroth, Peter Joseph Kalman, W. Michael Kelley
Hearing Site: Phoenix, AZ
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