| 11-02061 | 03/23/2012 | Claimant(s): Denis Thibeault, Paul Torti
Claimant Lawyers(s): Denis Emery Thibeault, Paul J. Torti
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Missy Daboul Margolis, John Manning Herr, Evalyn Lipton Fishbein
Hearing Site: Providence, RI
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| 11-01032 | 03/23/2012 | Claimant(s): Angel Delucca-Marrero
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., Ramon Almonte, UBS Financial Services Inc. of PR
Respondent Lawyers(s): Enrique G. Figueroa-Llinas, Guillermo J. Bobonis
Arbitrator(s): Roy B. Gonas, Todd M. Saunders, Jeffrey R. Roth
Hearing Site: San Juan, PR
|  | Expungement |
| 11-02506 | 03/19/2012 | Claimant(s): Margaux Loretz, Michael Loretz, Stone & Associates APC Profit Sharing Pl
Claimant Lawyers(s): Colette F. Stone
Respondent(s): George Sellers, James Brandt, UBS Financial Services Inc., Robert Schneider
Respondent Lawyers(s): Julie A. Cole
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03173 | 03/14/2012 | Claimant(s): Joseph Ditillo
Claimant Lawyers(s): Joseph Ditillo
Respondent(s): Christopher Caufield, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): William G. Binckes, Peter A. Goldman, Anthony Charles Ginetto
Hearing Site: New York, NY
| | Expungement |
| 11-00724 | 03/08/2012 | Claimant(s): Alfred Hoffman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison
Hearing Site: Tampa, FL
| | $0 |
| 10-05144 | 03/06/2012 | Claimant(s): Harvey Jester
Claimant Lawyers(s): Andrew O Whiteman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Henry Johnson
Arbitrator(s): Timothy J. Wright, Charles S. Clayton, Denise L. Presley
Hearing Site: Raleigh, NC
| | Expungement |
| 10-05046 | 02/29/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Thomas Watts
Respondent Lawyers(s): Charles W. Wright
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Jackson, MS
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| 11-01170 | 02/29/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Sean Morrissey
Respondent Lawyers(s): Sean Morrissey
Arbitrator(s): Michael M. Hachigian
Hearing Site: San Francisco, CA
| | |
| 10-04740 | 02/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Michael Espinoza
Respondent Lawyers(s): Kevin P. Cummings
Arbitrator(s): Mary Beth Wheeler, Benjamin A. Kerner, Sharon L. Paul
Hearing Site: Detroit, MI
| | |
| 10-05416 | 02/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Terry James
Respondent Lawyers(s): Terry E. James
Arbitrator(s): Dean J. Dietrich
Hearing Site: Seattle, WA
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