| 11-00472 | 11/27/2013 | Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
|  | Expungement |
| 11-02482 | 11/22/2013 | Claimant(s): Jitendra Makwana, Rosa Makwana, Makwana Family Trust
Claimant Lawyers(s): Rosemary Shockman
Respondent(s): UBS Financial Services Inc., Vince Hawley
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Allan Levey, Robert S. Mautner, Merton E. Marks
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-00992 | 11/21/2013 | Claimant(s): Charles Ward
Claimant Lawyers(s): Rebecca E. Swenson
Respondent(s): Helen Ward, John Ward, UBS Financial Services Inc., Lea Ward
Respondent Lawyers(s): Helen Ward, John P. Ward, Lea C. Ward, Rebecca E. Swenson
Arbitrator(s): Richard E. Lauziere, Brenda J. Stovall, Jason William Gaarder
Hearing Site: Baltimore, MD
| | Expungement |
| 11-03980 | 11/08/2013 | Claimant(s): Dwayne Peltier
Claimant Lawyers(s): Joel W. Baruch
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): G. Thomas Fleming, Elizabeth A. Copley, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | |
| 13-01029 | 11/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Rebecca Swenson
Respondent(s): Lynn Blankenberger
Respondent Lawyers(s): Lynn Blankenberger
Arbitrator(s): Frances D. Sheehy, Howard Bernstein, Doug Campbell
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00272 | 10/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Michael Schoor
Respondent Lawyers(s): Michael Jonah Schoor
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
| | |
| 12-00053 | 10/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John Michael Riordan
Respondent(s): Brett Stickney
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Louis H. Miron, Frank E. Wolf, Jacqueline Marie Pierre
Hearing Site: Montpelier, VT
| | |
| 12-02707 | 10/16/2013 | Claimant(s): Christina Brancati
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Fred S. Pieroni, Pamela H. Roderick, Harrison Johnson
Hearing Site: New York, NY
| | Expungement |
| 12-01040 | 10/10/2013 | Claimant(s): Matthew Garagusi
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Samuel A. Alward, John Joseph Hentschel, CRE, MAI, FRICS
Hearing Site: Baltimore, MD
| | Expungement |
| 13-00883 | 10/10/2013 | Claimant(s): Sara Mabon
Claimant Lawyers(s): Noam Besdin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | Expungement |
