| 11-03614 | 08/08/2013 | Claimant(s): The Estate of James M. Grisebaum
Claimant Lawyers(s): Eric Lipper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Thomas A. Martin, Juanita D. McKethan, Brian James Tagtmeier
Hearing Site: Houston, TX
|  | Expungement |
| 11-00886 | 08/07/2013 | Claimant(s): Bryan Schon
Claimant Lawyers(s): Brian Witus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, John F. Burns
Hearing Site: Detroit, MI
| | |
| 10-03534 | 07/29/2013 | Claimant(s): Ashley Marie Hern Gift Trust, Shaun M. Donnelly Gift Trust
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brad Weiner, UBS Financial Services Inc.
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | Expungement |
| 11-04366 | 07/26/2013 | Claimant(s): Marcia Steinmann
Claimant Lawyers(s): Jeffrey D. Pederson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Polina M. Dostalik
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | Expungement |
| 12-00565 | 07/25/2013 | Claimant(s): David Schrohe
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Sanford S. Stevens, Arthur H. Sobel, Roger L Gavan
Hearing Site: New York, NY
| | |
| 12-01872 | 07/05/2013 | Claimant(s): Michael Usina
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Stuart K. Furman
Hearing Site: Jacksonville, FL
| | Expungement |
| 11-04660 | 07/03/2013 | Claimant(s): Anise Schneiderman, Lenore Tepper, Montana Queler
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): David Simon, UBS Financial Services Inc.
Respondent Lawyers(s): Daniel S. Newman, Rebecca E. Swenson
Arbitrator(s): Linda M. Granata, Marie G. Peterson, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
| | $0 |
| 11-04455 | 06/25/2013 | Claimant(s): Robert Stolte
Claimant Lawyers(s): Alan L. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Alan Shaw, S. Charles Tabak, Ronald J. Colombo
Hearing Site: Newark, NJ
| | Expungement |
| 12-04173 | 06/24/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Decker
Respondent Lawyers(s): Kevin M. Roche
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 12-00187 | 06/14/2013 | Claimant(s): Henry Hansen, Henry F. Hansen, IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
