| 10-03827 | 11/17/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): William Northend
Respondent Lawyers(s): Kevin B. Kevorkian
Arbitrator(s): Martin Mandel
Hearing Site: San Francisco, CA
| | |
| 10-05120 | 11/17/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Broderick
Respondent Lawyers(s): Patrick Broderick
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 10-02646 | 11/17/2011 | Claimant(s): Robert West
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Dwight Wassong
Hearing Site: New York, NY
|  | $0 |
| 09-06504 | 11/16/2011 | Claimant(s): Patrick Mendenhall
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert L. Ivey
Arbitrator(s): Nathan Levy, Jeff Kilgore, Mary Esther Escobedo
Hearing Site: Houston, TX
| | |
| 10-00952 | 11/16/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Mark Graham
Respondent Lawyers(s): Robert J. Girard, II
Arbitrator(s): Robert M. Stein, Kevin I. Patrick, William R. Hickman
Hearing Site: Seattle, WA
| | |
| 11-00818 | 11/16/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Michael Ewanouski
Respondent Lawyers(s): Michael Adam Ewanouski
Arbitrator(s): David Love
Hearing Site: Boston, MA
| | |
| 10-02299 | 11/16/2011 | Claimant(s): Dramm.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Lewis J. Levey, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | Expungement |
| 10-05102 | 11/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Robert David
Respondent Lawyers(s): Robert M. David
Arbitrator(s): John A. Davis
Hearing Site: Houston, TX
| | |
| 10-03797 | 11/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Benjamin Gentry
Respondent Lawyers(s): Benjamin Alvis Gentry
Arbitrator(s): Hugh J. Moore
Hearing Site: Nashville, TN
| | |
| 10-01317 | 11/09/2011 | Claimant(s): Jose G. Flores & Gladys Aponte
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Carlos Pou, Jeffrey Lopez, UBS Financial Services Inc., BBVA Securities Of Puerto Rico., UBS Financial Services Inc of PR
Respondent Lawyers(s): Anibal Lugo-Miranda, Debra A. Jenks, Roberto C. Quinones-Rivera
Arbitrator(s): Robert H. Hagan, Nancy J. Cliff, Todd M. Saunders
Hearing Site: San Juan, PR
| | Expungement |
