| 11-02504 | 02/10/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Evelyn C. Best
Respondent(s): The Macaluso Family Trust dd 9/25/1995
Respondent Lawyers(s): Leo Macaluso
Arbitrator(s): Mark R. Lee, Lauren Litman, Katherine Jane Morris
Hearing Site: San Diego, CA
| | Expungement |
| 10-04713 | 02/10/2012 | Claimant(s): Brent Allan, Deborah Allan, Corey France Custodial, Lawrence R. Allan Custodial, Brent R. Allan IRA, Deborah B. Allan IRA, Brent Allan and Deborah Allan JTWROS, Allan Limited Partnership, Alln Family Limited Partnership, Alln Limited Partnership FBO Children, B & B Irrevocable Trust UAD 3/21/99
Claimant Lawyers(s): Michael J. Frazelle
Respondent(s): Allan Flader, Brian Flader, UBS Financial Services Inc., RBC Dain Rauscher.
Respondent Lawyers(s): Jennifer L. Meeker, Michael M. Gless, Michael Pysno
Arbitrator(s): George N. Roy, Joe S. Tarrer, Paul T. Sachs
Hearing Site: Phoenix, AZ
|  | Expungement |
| 09-07223 | 02/03/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): David Bigler, Paul Walker, Pericles Gregoriou, Richard Suss
Respondent Lawyers(s): Jordan D. Weinreich, Paul A. Lieberman
Arbitrator(s): Monica I. Salis, Robert S. Natiss, William R. Alheim
Hearing Site: Miami, FL
| | |
| 10-04520 | 02/03/2012 | Claimant(s): Margaret Wendt
Claimant Lawyers(s): Jed Gladstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Laurent C. Vonderweidt, Kirtley M. Thiesmeyer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02503 | 01/30/2012 | Claimant(s): Leonor Garcia, Trust of Leonor Ochoa Garcia, Trust of Peter-Ochoa
Claimant Lawyers(s): Francis Pagan Martinez
Respondent(s): UBS Financial Services Inc., UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto C. Quinones
Arbitrator(s): Bernard A. Becker, Todd M. Saunders, Thomas R. Noonan
Hearing Site: San Juan, PR
| | Expungement |
| 11-04810 | 01/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark Carberry
Respondent(s): Amir Monsefi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John D. Vaughn, Timothy R. Pestotnik
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | |
| 10-03829 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Peggy Stavinoha
Respondent Lawyers(s): Reagan D. Pratt
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
| | |
| 10-04400 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Ethan Braid, James Negrelli, Michael Lundon, Paul McCormack
Respondent Lawyers(s): Michael D. Lee, Robert J. Hanna
Arbitrator(s): Benjamin B. Segel, Daniel L. Bonder, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | |
| 11-02656 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Deverich
Respondent Lawyers(s): Michael Lee Deverich
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 10-01395 | 01/20/2012 | Claimant(s): Anthony V. Possidente & Fonda Possidente
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Ted M. Rosen, Lincoln W. Craighead, Nunzio Garzino
Hearing Site: New York, NY
| | Expungement |
