| 09-06361 | 05/17/2012 | Claimant(s): The Estate of George T. Arns, The Arns Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P.
Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy
Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth
Hearing Site: New York, NY
|  | Expungement |
| 10-04897 | 05/15/2012 | Claimant(s): Jodi Simensky, Rosalee Simensky, Stephen Simensky, Stephen and Rosalee Simensky JTWROS, Rosalee Simensky Rev Trust, The Stephen Simensky Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): Lawrence M. Green, Steven N. Ainbinder, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00092 | 05/11/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Grant H. Dowd
Respondent(s): Tony Mingo
Respondent Lawyers(s): Tony F. Mingo
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 11-03971 | 05/08/2012 | Claimant(s): Matthew Phillips
Claimant Lawyers(s): Matthew Timothy Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 10-04733 | 05/08/2012 | Claimant(s): NAK Investments
Claimant Lawyers(s): Philip W. Bartenetti
Respondent(s): Hormoz Saleh, UBS Financial Services Inc.
Respondent Lawyers(s): Steve Young
Arbitrator(s): Robert W. Vernon, Troy C. Sumrall, James Belk
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01502 | 05/04/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Irving M. Shlesinger, Karla Y. Vogel, David Blair Sinyard
Hearing Site: Atlanta, GA
| | |
| 10-03663 | 05/04/2012 | Claimant(s): Jose Flores
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Jeffrey Lopez, UBS Financial Services Inc., BBVA Securities of Puerto Rico., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Anibal Lugo-Miranda, Debra A. Jenks, Roberto Quinones
Arbitrator(s): Bernard (Bob) L. Loring, Jerrold Levine, Louis David Huss
Hearing Site: San Juan, PR
| | Expungement |
| 10-03793 | 05/04/2012 | Claimant(s): Gerardo Gerson, Rivadavia S.A.
Claimant Lawyers(s): Quinn Smith
Respondent(s): UBS Financial Services Inc., Olga Pereira
Respondent Lawyers(s): Andrew Sidman, Jeffrey L. Bernfeld
Arbitrator(s): Jeffrey R. Roth, Renaldy Jose Gutierrez, Alisa Matire
Hearing Site: Miami, FL
| | $0 |
| 11-01628 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Ronald Whitley
Respondent Lawyers(s): Ronald T Whitley
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
| | |
| 11-02148 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David J. Sullivan
Respondent(s): Thomas Cash
Respondent Lawyers(s): Jon P. Skelton
Arbitrator(s): Syma S. Kasdin
Hearing Site: Boca Raton, FL
| | |
