| 13-02917 | 04/04/2014 | Claimant(s): Charles Moehrke Jr., Norris Cotton
Claimant Lawyers(s): Charles Henry Moehrke, Norris Gates Cotton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): C. Marcus Harris, Celeste A. Beron, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
| | |
| 13-03081 | 04/01/2014 | Claimant(s): Amin Dabit
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 10-04582 | 03/27/2014 | Claimant(s): Lewis Robinson
Claimant Lawyers(s): Josh M. Rubens
Respondent(s): UBS Financial Services Inc., UBS Partner Plus Plan
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Martin A. Feigenbaum, Mark A Bilawsky, Brett Matthew Logan
Hearing Site: Miami, FL
| | |
| 12-04128 | 03/21/2014 | Claimant(s): John Caudill, Molly Caudill
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Amelia F. Adams, Jeffrey M. Bain, Harold G. Wren
Hearing Site: Louisville, KY
|  | $202,375 |
| 13-01973 | 03/06/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04103 | 03/05/2014 | Claimant(s): Laurence Goldstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Lewis S. Kurlantzick
Hearing Site: Hartford, CT
| | $0 |
| 13-02572 | 03/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Rose
Respondent Lawyers(s): Michael Stevan Rose
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | |
| 12-01581 | 02/26/2014 | Claimant(s): Robert Hile, Robert W. Hile, as a JTWROS w/ C.L. Hile
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Karen Z. Fischer, Gerald Silverman, Kimberly A. Gilmour
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-02790 | 02/25/2014 | Claimant(s): Regina Coppens, as Trustee of the Regina
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Susan George
Arbitrator(s): Shari B. Broder
Hearing Site: Augusta, ME
| | Expungement |
| 10-04984 | 02/21/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Russell Williams
Respondent Lawyers(s): Geniene B. Stillwell
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
