| 10-05360 | 09/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bernard (Bob) L. Loring, Charles Hoffman, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-03986 | 09/06/2012 | Claimant(s): William B. Brown
Claimant Lawyers(s): William B. Brown
Respondent(s): UBS Financial Services Inc., Michele Aldo
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Alun Hywel Jones, James W. Kambas, Martin J. DeGennaro
Hearing Site: Hartford, CT
|  | $0 |
| 11-02405 | 08/23/2012 | Claimant(s): Arnold Schwedock Irrevocable Trust
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Thomas E. Duggan, Sanford S. Stevens, Barry Steven Port
Hearing Site: New York, NY
| | $0 |
| 11-02687 | 08/22/2012 | Claimant(s): Nancy Potter, Nancy L. Potter IRA, Donna M. Wilson,Trustee Potter Family
Claimant Lawyers(s): Bradley A. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Chesley Oriel, John B. Kinsellagh, Susan E. Maloney
Hearing Site: Boston, MA
| | $50,000 |
| 11-03217 | 08/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Michael Pompei
Respondent Lawyers(s): Michael Albert Pompei
Arbitrator(s): John F. Burns
Hearing Site: Detroit, MI
| | |
| 11-02319 | 08/17/2012 | Claimant(s): Ruben Irizarry Alcaraz
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nannette Berrios Haddock, Roberto C. Quinones-Rivera
Arbitrator(s): Bernard A. Becker, Stuart K. Furman, Louis David Huss
Hearing Site: San Juan, PR
| | Expungement |
| 11-01532 | 08/16/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Joseph Boutross
Respondent Lawyers(s): Joseph Boutross
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | |
| 11-00156 | 08/16/2012 | Claimant(s): Linda Westerfield, William Westerfield
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spailina
Arbitrator(s): Charles H. Peterson, Francis Frank Fontenot, Brian James Tagtmeier
Hearing Site: New Orleans, LA
| | Expungement |
| 11-01701 | 08/15/2012 | Claimant(s): Albert Lazarus
Claimant Lawyers(s): Arthur P Fisch
Respondent(s): Eric Diton, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Kinchen C. Bizzell, Keely D. Parr, Michele S. Riley
Hearing Site: New York, NY
| | $0 |
| 12-01028 | 08/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Jay Nisbet
Respondent Lawyers(s): Jay Michael Nisbet
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
