| 12-03256 | 10/02/2013 | Claimant(s): Sondra Schneider
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Alun Hywel Jones, David B. Beizer, Charles W. Danis
Hearing Site: Hartford, CT
|  | Expungement |
| 13-00260 | 10/01/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Payne L. Templeton
Respondent(s): James O'Brien IRA, The James E. O'Brien MD Separate Propert
Respondent Lawyers(s): James O'Brien
Arbitrator(s): Elizabeth A. Copley, Vincent J. Natoli, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04423 | 09/26/2013 | Claimant(s): Aurea Pou
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Nannette Berrios-Haddock, Roberto C. Quinones-Rivera
Arbitrator(s): Bernard A. Becker, Jerrold Levine, Louis David Huss
Hearing Site: San Juan, PR
| | Expungement |
| 13-00165 | 09/25/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Evelyn Correa
Respondent Lawyers(s): Evelyn Correa
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
| | |
| 12-01528 | 09/23/2013 | Claimant(s): Steven Barbeau, Steven P. Barbeau IRA
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Caroline K. Hall
Arbitrator(s): Susan L. Walker, Mark A. Frankel, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
| 11-04724 | 09/17/2013 | Claimant(s): Flor Reyes Del Valle
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorp. of PR.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, Rodolfo C. Angulo
Hearing Site: San Juan, PR
| | Expungement |
| 13-00464 | 09/16/2013 | Claimant(s): Paul S. Dennis Trust
Claimant Lawyers(s): Sean P. Malone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lynn Saralli
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cleveland, OH
| | $0 |
| 11-04269 | 09/10/2013 | Claimant(s): Steven Jones
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Citigroup Global Markets., UBS Financial Services Inc., Marvin Goldin, Michael Kosik
Respondent Lawyers(s): Amy B. Bard, William Hohauser
Arbitrator(s): Roger J. Hawke, Marguerite B. Filson, Lincoln W. Craighead
Hearing Site: New York, NY
| | Expungement |
| 12-01390 | 09/05/2013 | Claimant(s): Elliott Adorno
Claimant Lawyers(s): Pedro J. Espinal
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Steven N. Ainbinder, Todd M. Saunders, Fredrick T.W. Reed
Hearing Site: San Juan, PR
| | Expungement |
| 11-02754 | 09/04/2013 | Claimant(s): Edward Horvath, Pamela Horvath
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Irwin Kahn, Elizabeth Gilbert, Mitchell Jay Bayer
Hearing Site: New York, NY
| | Expungement |
