| 11-04665 | 09/04/2013 | Claimant(s): Gary Epping
Claimant Lawyers(s): Edward H. Glenn, Jr.
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Milwaukee, WI
|  | Expungement |
| 12-01842 | 08/28/2013 | Claimant(s): International Alliance, C.V.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): James M. Scutti, Jeffrey R. Roth, Lawrence Goldberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00614 | 08/23/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ian L. Reynolds
Respondent(s): Michael Davenport
Respondent Lawyers(s): Michael Derrick Davenport
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
| | |
| 13-00145 | 08/22/2013 | Claimant(s): David Prockter
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark J. Happe
Hearing Site: New York, NY
| | |
| 13-00989 | 08/22/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Patrick Colligan
Respondent Lawyers(s): Patrick Colligan
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | |
| 12-03847 | 08/21/2013 | Claimant(s): Paul Lin
Claimant Lawyers(s): Paul Lin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Frederick N. Bailard
Hearing Site: Los Angeles, CA
| | $2,105 |
| 11-01173 | 08/15/2013 | Claimant(s): Ramon Puig Rodriguez and Evelyn Carrion
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Charles Hoffman
Hearing Site: San Juan, PR
| | Expungement |
| 12-01965 | 08/14/2013 | Claimant(s): The Estate of James W. Hassman, Deceased
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Daryl Demo, UBS Financial Services Inc.
Respondent Lawyers(s): Aaron A. VanderLaan, Mark D. Knoll
Arbitrator(s): Carol M. Stoner, Stephen P. Calardo, Daniel G. Zeiser
Hearing Site: Cincinnati, OH
| | $0 |
| 12-00217 | 08/09/2013 | Claimant(s): Samuel Elam, The Samuel F. Elam Rev. Living Trust
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Emily J. Lewis, Louis V. Imundo, Dale A. Crawford
Hearing Site: Columbus, OH
| | Expungement |
| 13-01036 | 08/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Brendon Lyden
Respondent Lawyers(s): Brendon Lyden
Arbitrator(s): Robert G. O'Brien
Hearing Site: New York, NY
| | |
