| 10-05612 | 11/08/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Lance Eaton
Respondent Lawyers(s): Lance Paul Eaton
Arbitrator(s): Martin J. Kotowski
Hearing Site: Los Angeles, CA
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| 10-03939 | 11/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Ralph Jones
Respondent Lawyers(s): Krista L. Tushar
Arbitrator(s): William F. Skewes, Martin M. Berliner, James J. Ashe
Hearing Site: Denver, CO
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| 10-05099 | 11/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Si Lee
Respondent Lawyers(s): Si Ball Lee
Arbitrator(s): J. Maxwell Williams
Hearing Site: Houston, TX
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| 11-01797 | 10/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Esteban Llavallol
Respondent Lawyers(s): Esteban E. Llavallol
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
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| 09-06066 | 10/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Christopher St. Laurent
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Mark A. Myers, Jeff Kilgore, Carlton A. Butler
Hearing Site: Houston, TX
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| 10-05504 | 10/13/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Stuart Kimball
Respondent Lawyers(s): Stuart K. Kimball
Arbitrator(s): Richard E. Miley
Hearing Site: Columbia, SC
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| 08-05019 | 10/11/2011 | Claimant(s): Dalila Costa-Leroy
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Harvey Barrison, Leah R. Marks, Erica Levitt
Hearing Site: New York, NY
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| 11-02056 | 10/07/2011 | Claimant(s): Robert Bickham
Claimant Lawyers(s): Meredith A. Cunningham
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel Rosenbaum
Arbitrator(s): David G. Beerbower
Hearing Site: Houston, TX
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| 09-05793 | 10/05/2011 | Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
|  | $248,874 |
| 10-03722 | 10/04/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Paul Schobert
Respondent Lawyers(s): Paul E. Schobert
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
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