| 11-02276 | 03/28/2013 | Claimant(s): Jacki Conolley, Sheldon Bloch, The North Family Trust, The Weston Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, John B. La Rue
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-03526 | 03/27/2013 | Claimant(s): Dr. John O. Buoni Rollover IRA
Claimant Lawyers(s): John Buoni
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Edward Aptaker
Hearing Site: Boston, MA
| | Expungement |
| 11-02948 | 03/25/2013 | Claimant(s): Alfano Children Limited Partnership, The Alfano Family Charitable Foundation
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Dwight Wassong, Stuart S. Berman, David Morris Weiss
Hearing Site: Newark, NJ
| | Expungement |
| 11-02694 | 03/22/2013 | Claimant(s): Jose Ruiz Soto
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., of PR
Respondent Lawyers(s): Robert C. Quinones-Rivera
Arbitrator(s): Steven R. Reininger, Martin A. Feigenbaum, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | Expungement |
| 11-02190 | 03/13/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roach
Respondent(s): Peter Skoufis
Respondent Lawyers(s): Michael H. Schaalman
Arbitrator(s): Donald W. McKenzie
Hearing Site: Milwaukee, WI
| | |
| 11-04279 | 03/05/2013 | Claimant(s): Bank of Nevada
Claimant Lawyers(s): Garrett W. Wotkyns
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales, Justin DeCamp
Arbitrator(s): James H. McAvoy, Steven A. Budin, Ernest F. Modzelewski
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-00969 | 03/04/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Michael Jordan
Respondent Lawyers(s): Michael Gene Jordan
Arbitrator(s): Monroe Mitchel
Hearing Site: Miami, FL
| | |
| 11-01377 | 03/04/2013 | Claimant(s): Scott Teter
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Elizabeth A. Copley, Herbert Murez, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-02740 | 03/04/2013 | Claimant(s): Joe McGlone
Claimant Lawyers(s): Joe McGlone
Respondent(s): Keith Brown, UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $213 |
| 11-01716 | 02/27/2013 | Claimant(s): Maria Berrios
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., Oriental Financial Services Corp., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Alfredo Fernandez Martinez, Nanette Berrios-Haddock, Robert C. Quinones
Arbitrator(s): Martin A. Feigenbaum, Jerrold Levine, Michael E. Pearson
Hearing Site: San Juan, PR
| | Expungement |
