| 12-00096 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David J. Sullivan
Respondent(s): Nicole Domnarski
Respondent Lawyers(s): Nicole Catherine Domnarski
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Providence, RI
| | |
| 10-02584 | 04/25/2012 | Claimant(s): Karabi Sinha
Claimant Lawyers(s): Barry R. Lax
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Cynthia H. Plishtin, Robert E. Anderson, Joan Marie Chiusano
Hearing Site: Newark, NJ
|  | $154,479 |
| 10-03275 | 04/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan Weinreich
Respondent(s): Grant Mellon
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA
| | |
| 11-02964 | 04/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Misti Pope
Respondent Lawyers(s): Misti Lee Pope
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | |
| 10-00820 | 04/12/2012 | Claimant(s): Ricky Stark
Claimant Lawyers(s): Gerald Maltz
Respondent(s): James Stark, UBS Financial Services Inc.
Respondent Lawyers(s): Gerald Maltz, Philip A. Fortino
Arbitrator(s): Stephen J. Taddie, Eugene R. Nielson, James M. Arkoosh
Hearing Site: Phoenix, AZ
| | |
| 11-01676 | 04/11/2012 | Claimant(s): Gary Brown, Estelle Brown Trust
Claimant Lawyers(s): Ralph Rogari
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven A. Wawra, Mary K. Foust, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03913 | 04/03/2012 | Claimant(s): Marvin Getlan
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, UBS Financial Services Inc.
Respondent Lawyers(s): Keith Olin, Tracy L. Gerber
Arbitrator(s): Linda M. Granata, Norman L. Weiss, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-03454 | 03/30/2012 | Claimant(s): Irene Kaufman Trust by Irene & Bernice K
Claimant Lawyers(s): Lloyd De Vos
Respondent(s): Diane Frimmel, John Hannasch, UBS Financial Services Inc., Marten Hoekstra, Michael Weisberg
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ilene Barbara Zatkin-Butler, Milton M. Stein, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 10-03591 | 03/29/2012 | Claimant(s): Carlos Conde and Pamela Conde
Claimant Lawyers(s): Francis T. Pagan
Respondent(s): UBS Financial Services Inc., Wilson Colberg
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto C. Quinones-Rivera
Arbitrator(s): William G. Binckes, David J. Pine, Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
| 11-00526 | 03/26/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Joseph Truglio
Respondent Lawyers(s): Joseph Ted Truglio
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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