| 11-01265 | 01/31/2013 | Claimant(s): The Eckenrod Living Trust Dtd. 5/12/87
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-05365 | 01/28/2013 | Claimant(s): Lueny Bobadilla, Waldemar Ramirez
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Santander Securities
Respondent Lawyers(s): Richard L. Martens, Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Charles Hoffman
Hearing Site: San Juan, PR
| | Expungement |
| 11-03436 | 01/28/2013 | Claimant(s): Kristin Farrell, Terence Farrell
Claimant Lawyers(s): Patrick S. Williams
Respondent(s): David Kinnear, UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Lawrence J. Welte, Joan L. Volz, Debra Jean Griebel
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-03827 | 01/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Donald Novell
Respondent Lawyers(s): Donald F. Novell
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | |
| 11-02794 | 01/17/2013 | Claimant(s): Inversiones Kaizen Ltd.
Claimant Lawyers(s): Jeffrey B Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): John J. Hearn, Jeffrey R. Roth, Stanley Zamor
Hearing Site: Miami, FL
| | Expungement |
| 12-00859 | 01/17/2013 | Claimant(s): Anna Manzo, Francis Manzo, Francis M & Anna Marie Manzo Fam Trst, P. Manzo & W. Manzo Living Trust
Claimant Lawyers(s): Kristian P. Kraszewiski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Randall W Heinrich, Richard F. Dole, Michael L. Landrum
Hearing Site: Houston, TX
| | Expungement |
| 12-02699 | 01/14/2013 | Claimant(s): Douglas Bott
Claimant Lawyers(s): Anna M. Rossi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | |
| 11-01335 | 01/07/2013 | Claimant(s): Catherine Cox, William Cox, William E. Cox Irrevocable Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mauricio Arcadier, Robert J. Buchner, Scott Louis Fishman
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02173 | 01/03/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Douglas Campbell
Respondent Lawyers(s): Douglas Walter Campbell
Arbitrator(s): John P. Cullem, Linda Fairchild, Margaret R. Hoyt
Hearing Site: Orlando, FL
| | |
| 11-00235 | 12/28/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Lisa M. Bertain
Respondent(s): Steven Widtfeldt
Respondent Lawyers(s): Steven Eric Widtfeldt
Arbitrator(s): Mark I Preston, Charles A. Joplin, Earle J. Schwarz
Hearing Site: Dallas, TX
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