| 11-03256 | 05/28/2013 | Claimant(s): Mario R. Gebbia as Trustee of the Mario
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Elliot B. Platt, Kathleen L. Daerr-Bannon, Mary L. Sims
Hearing Site: Philadelphia, PA
|  | Expungement |
| 11-03457 | 05/28/2013 | Claimant(s): Abbe Heller, Howard Diamond
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): David Boudreau, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Theodore L. Leeb, Leonard Arthur Nelson, Olusola Olayinka Oyeyemi
Hearing Site: Chicago, IL
| | Expungement |
| 12-01701 | 05/22/2013 | Claimant(s): Gladys Cheringal
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Charles L. Prothero, Bernard M. Levine, Bryan David Glass
Hearing Site: Newark, NJ
| | Expungement |
| 12-01774 | 05/21/2013 | Claimant(s): Gregory Headrick
Claimant Lawyers(s): Todd E. Schwartz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Frederic E. Dorkin
Hearing Site: Seattle, WA
| | |
| 11-02059 | 05/21/2013 | Claimant(s): Peter R. Hanson and Martha H. Hanson
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Barry Goldman, John F. Burns, Thomas Anthony Van Tiem
Hearing Site: Detroit, MI
| | Expungement |
| 10-05100 | 05/10/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Joselito Balintona
Respondent Lawyers(s): Joselito Balintona
Arbitrator(s): John P. Mazzitelli
Hearing Site: Minneapolis, MN
| | |
| 11-02700 | 05/09/2013 | Claimant(s): Enrique Clausen, Lera Investments Limited
Claimant Lawyers(s): D. Rob Burris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip McLeod
Arbitrator(s): Brian W. Yee, Jeffrey Scott Dow, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $730,216 |
| 10-05618 | 05/08/2013 | Claimant(s): Cheryl Star
Claimant Lawyers(s): David M. White
Respondent(s): John Magnesio, UBS Financial Services Inc., Steven Kyriakos
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Sandra J. Mullings, Madelyn A. Levy, Myrna E. DeJesus
Hearing Site: New York, NY
| | Expungement |
| 12-03633 | 05/03/2013 | Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quiones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorporated,PR
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Gerald Silverman, Stuart K. Furman, Robert Charles Stamm
Hearing Site: San Juan, PR
| | |
| 11-02396 | 05/02/2013 | Claimant(s): Kenneth Nelson, Kris Nelson, Carol W. Nelson, Carol W. Nelson Trust, Kenneth A. Nelson Irrevocable Insurance, Kenneth A. Nelson Revocable Trust
Claimant Lawyers(s): Daniel H. Charest
Respondent(s): Jason Stephens, UBS Financial Services Inc., The Stephens Wealth Management Group
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Barry David Thorpe, Philip L. Manczak, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
