| 12-01361 | 01/02/2014 | Claimant(s): Frank Goldstein
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Douglas Earl McLaren, Steven Irving Platt, Edward Alexander Jaffe
Hearing Site: Baltimore, MD
|  | Expungement |
| 13-02207 | 12/23/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Chris McCrary
Respondent Lawyers(s): Chris Patrick McCrary
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
| | |
| 12-00155 | 12/20/2013 | Claimant(s): Kay Whitney, Leon Whitney
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Tim S. Hartzell, Charles E. Munson, Arno C. Schwethelm
Hearing Site: Houston, TX
| | Expungement |
| 12-00813 | 12/20/2013 | Claimant(s): Gary Moye, Joel Vanblerkom
Claimant Lawyers(s): August M. Lorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William Montgomery
Arbitrator(s): Bernard A. Friedman, Mary Lou McGanney, John Caracciolo
Hearing Site: New York, NY
| | Expungement |
| 12-01485 | 12/18/2013 | Claimant(s): Gaile Withers
Claimant Lawyers(s): Cynthia R. Levin Moulton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Jeffrey R. Jury, Michael S. Yauch, Michael Louis Goldstone
Hearing Site: Houston, TX
| | Expungement |
| 11-01556 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Gia Atlas
Respondent Lawyers(s): Mitchell Schley
Arbitrator(s): Mitchell S. Friedman, Michael P. Marryshow, Nicholas James Johnson
Hearing Site: Philadelphia, PA
| | |
| 12-01338 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): William McClendon
Respondent Lawyers(s): Joseph A. Salazar
Arbitrator(s): John J. Flynn, Edwin C. Shiver, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
| | |
| 12-00074 | 12/09/2013 | Claimant(s): William Frisco
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Gary D. Danna, Christine L. Stetson, Alan M. Holzberg
Hearing Site: Houston, TX
| | |
| 13-00166 | 12/05/2013 | Claimant(s): Timothy Flynn
Claimant Lawyers(s): George L. Mahr
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. Fortino
Arbitrator(s): John A. Astorina, Franklin P. Chapman, Peter Susser
Hearing Site: New York, NY
| | |
| 12-02715 | 12/04/2013 | Claimant(s): J Goldsmith, Katherine Goldsmith
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Monica I. Salis, Steven Ira Weinberger, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | Expungement |
