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FINRA Awards for UBS Financial Services Inc.

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Displaying 1,301-1,310 out of 1,564 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0209501/12/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Harold Sheehan
Respondent Lawyers(s): Harold A. Sheehan
Arbitrator(s): Beth Rackley Hesselson
Hearing Site: Cleveland, OH
11-0263301/11/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Joseph Di Vito
Respondent Lawyers(s): Paul A. Conant
Arbitrator(s): David G. Skeen
Hearing Site: Phoenix, AZ
11-0089501/10/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Gerard Gremillion
Respondent Lawyers(s): Gerard Chandler Gremillion
Arbitrator(s): Jeffrey R. Jury
Hearing Site: New Orleans, LA
11-0249601/09/2012Claimant(s): Evelyn Salter
Claimant Lawyers(s): Evelyn Salter
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer S. Reiser
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
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10-0459512/28/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Tony Sanchez
Respondent Lawyers(s): Tony D. Sanchez
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
11-0258712/28/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Robert Wachholder
Respondent Lawyers(s): Wendy Byndloss
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
10-0204512/23/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Simone A. Muscarnera, Barbara Weisman, Thomas A. Abitabile
Hearing Site: Newark, NJ
10-0510112/22/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Edward Lawrence
Respondent Lawyers(s): Edward Lawrence
Arbitrator(s): J. Maxwell Williams
Hearing Site: Houston, TX
11-0242912/22/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Robert Langley
Respondent Lawyers(s): Robert John Langley
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
10-0560012/21/2011Claimant(s): Peter Goldman
Claimant Lawyers(s): Daniel Felber
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): William E. Nuckel, Mitchell Jay Bayer, Herbert Sue
Hearing Site: New York, NY

1,564 Results

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