| 10-05070 | 02/25/2013 | Claimant(s): Chad Wolsmann, Daniel Wood
Claimant Lawyers(s): Aaron R. Thom
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): John C. DeMoss, David F. Schmitz, Frank Edward Hermann
Hearing Site: Minneapolis, MN
| | |
| 11-04768 | 02/25/2013 | Claimant(s): David Bobo
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Joseph V. Simeri
Hearing Site: Louisville, KY
|  | $103,290 |
| 10-04837 | 02/22/2013 | Claimant(s): Karen Wykrent, Michael Wykrent
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): William E. Hartsfield, Karen J. Zvonecek, Edward J. Lynch
Hearing Site: Dallas, TX
| | Expungement |
| 11-01256 | 02/19/2013 | Claimant(s): Carol Seaton, Carol A. Seaton IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): UBS Financial Services Inc., Richard Judd
Respondent Lawyers(s): Amy B. Bard, Eric D. Brandfonbrener
Arbitrator(s): William M. Koziol, Mary Beth Wheeler, Philip J. Glick
Hearing Site: Chicago, IL
| | Expungement |
| 11-01729 | 02/19/2013 | Claimant(s): Jaclyn Dukatt
Claimant Lawyers(s): James R. Amschler
Respondent(s): UBS Financial Services Inc., Matthew Fuller
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joann Peters, Michael E. Rohde, Beverly Jo McKemie
Hearing Site: Dallas, TX
| | $102,000 |
| 11-02314 | 02/14/2013 | Claimant(s): Peter Kawash
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Barbara Mihalik-Zeitoun, UBS Financial Services Inc.
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Edward F. Koren
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-02124 | 02/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerard T. Rohrer
Respondent(s): Alexander Potenza
Respondent Lawyers(s): Alexander Potenza
Arbitrator(s): Richard W. Thornburg
Hearing Site: Jacksonville, FL
| | |
| 11-01063 | 02/11/2013 | Claimant(s): Wexco Industries
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christina R. Ryfa
Arbitrator(s): Alan Shaw, Barbara Weisman, Neal D. Baker
Hearing Site: Newark, NJ
| | Expungement |
| 12-00299 | 02/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Fernando Castillo
Respondent Lawyers(s): Fernando Castillo
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
| | |
| 12-01158 | 02/06/2013 | Claimant(s): Gerald Kaiser
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Gregory Berger, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James D. Sallah, Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Herman Taub
Hearing Site: New York, NY
| | $0 |
