| 11-02566 | 12/21/2012 | Claimant(s): Idelji Corporation Defined Benefit Pensi, Khodyayar Family Trust DTD 5-12-05, By I
Claimant Lawyers(s): Edward H Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC Montgomery
Arbitrator(s): Arthur F. Brueggeman, Joyce L. Hurley, Mary M. O'Neil
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-03504 | 12/21/2012 | Claimant(s): Awilda Vilches Reyes
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Fred Abramoff
Hearing Site: San Juan, PR
| | Expungement |
| 11-01987 | 12/20/2012 | Claimant(s): Richard and Maria Wood
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., Financial Network Investment Corporation, UBS Financial Svcs. of Puerto Rico
Respondent Lawyers(s): Nanette Berrios Haddock, Robert C. Quinones, Sonia Torres-Pabon
Arbitrator(s): Steven R. Reininger, Jerrold Levine, Thomas R. Noonan
Hearing Site: San Juan, PR
| | Expungement |
| 12-01643 | 12/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Geoffrey Ortiz
Respondent Lawyers(s): Paul N. Phillips
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Los Angeles, CA
| | |
| 12-00575 | 12/19/2012 | Claimant(s): Lois Martello, The Estate of Frank T. Martello, Frank T. Martello Fam. Trust f/b/o Keith, Frank T. Martello Fam. Trust f/b/o Linda, Frank T. Martello Fam. Trust f/b/o Tim, The Frank T. Martello Revocable Trust
Claimant Lawyers(s): Steven J. Gard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): J. Porter McClean, Pamela Jeanne Rush, Gail E. Sasnett-Stauffer
Hearing Site: Jacksonville, FL
| | Expungement |
| 11-00395 | 12/14/2012 | Claimant(s): Michael Sorochinsky, Michael & Lauren Sorochinksky Fam Trust, Werbin Family Trust dtd 10/20/92
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Howard A. Emirhanian, Vincent J. Natoli, George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01872 | 12/14/2012 | Claimant(s): Barbara Istas, James Istas
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Andrew R. Dick, Peter N. Thompson, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-00443 | 12/12/2012 | Claimant(s): Hugo R. Scala Jr. Rollover IRA, Scala Family Limited Partnership, Hugo R Scala Gift Trust DTD 12/23/1966, Hugo R. Scala Jr. Trust DTD 7/28/03
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Charles Hoffman, David E. Mowry, Alexander Myers
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
| 11-02448 | 12/07/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Francisco Martin
Respondent Lawyers(s): Francisco Jose Martin
Arbitrator(s): Harvey C. Flodin, Sidney Jacobsen
Hearing Site: San Diego, CA
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