| 11-01096 | 07/31/2012 | Claimant(s): Karen Sallerson, Ronald Sallerson
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
|  | Expungement |
| 11-02012 | 07/30/2012 | Claimant(s): Wallace Ward
Claimant Lawyers(s): August M. Iorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A. Inge Selden
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Buffalo, NY
| | Expungement |
| 11-00843 | 07/24/2012 | Claimant(s): Scott Strumlauf
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Helen E. Huyler, Robert Allen Fine, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 10-01216 | 07/19/2012 | Claimant(s): Linda Eydt
Claimant Lawyers(s): James C. Cifelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Michael J. Ahlstrom, Joyce F. Glucksman, Harry G. Mason
Hearing Site: Atlanta, GA
| | |
| 10-04946 | 07/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): L. Andrew Brehm
Respondent(s): Eugene Flynn
Respondent Lawyers(s): Hyman Silverglad
Arbitrator(s): Charles P. Axelrod, Howard Breindel, Deborah A. Shapiro
Hearing Site: New York, NY
| | |
| 11-00763 | 07/09/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Paul Beninati
Respondent Lawyers(s): Max P. Minnig
Arbitrator(s): Baldwin Ranson, Bernard A. Clark, Hunter Joseph von Unschuld
Hearing Site: Denver, CO
| | |
| 10-05715 | 07/09/2012 | Claimant(s): Janet Schmidt, MJN Construction, The Schmidt Family Trust
Claimant Lawyers(s): Eileen M. Donoghue
Respondent(s): UBS Financial Services Inc., Laurence Knowlton, Robert Cataldo
Respondent Lawyers(s): Jeffrey L. Friedman, Robert Anthony Cataldo
Arbitrator(s): Richard J. Grahn, William R Harding, Steven S. Manos
Hearing Site: Boston, MA
| | $809,500 |
| 11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | $0 |
| 11-00605 | 07/03/2012 | Claimant(s): Alexander Schernecke
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Advisors, Jamie Baraldi, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano, Brian A. Carlis, Edward W. Larkin
Arbitrator(s): Sheldon Seligsohn, Jerry Schuchman, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-01537 | 07/02/2012 | Claimant(s): Isabella Grace
Claimant Lawyers(s): Isabella Grace
Respondent(s): UBS Financial Services Inc., Robert Higgins
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Thomas A. Culbertson, William E. Schneider, Brent Eric Zepke
Hearing Site: Los Angeles, CA
| | $375 |
