| 09-06525 | 09/30/2011 | Claimant(s): Gerald Bamberger, Maxine Bamberger
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Donald J. Mehan
Arbitrator(s): Thomas J. Ray, Judith A. Payuk, Marilyn T. Selby
Hearing Site: St. Louis, MO
|  | Expungement |
| 10-04690 | 09/30/2011 | Claimant(s): Margaret Marshall, William Marshall
Claimant Lawyers(s): Margaret R. Marshall
Respondent(s): UBS Financial Services Inc., Kyle Luthy
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
| | $0 |
| 10-00408 | 09/28/2011 | Claimant(s): Robert Bryan
Claimant Lawyers(s): Anthony Cillo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard W. Dissen, Kathleen K. Murphy, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-04241 | 09/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Katherine M. Planer
Respondent(s): Daniel Casella
Respondent Lawyers(s): Daniel R Casella
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 10-05426 | 09/23/2011 | Claimant(s): Douglas Woodham
Claimant Lawyers(s): Paul T. Shoemaker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin L. Feinberg, Carole R. Bernstein, David Serko
Hearing Site: New York, NY
| | |
| 10-01670 | 09/21/2011 | Claimant(s): Jay Knapp, Reva Knapp, The Knapp Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): James Stark, UBS Financial Services Inc.
Respondent Lawyers(s): Armand Salese, Payne L. Templeton
Arbitrator(s): Katherine M. Harmeyer, James T. Sinyard, Nicholas Jason Enoch
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04555 | 09/19/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Thomas Akins
Respondent Lawyers(s): F. Scott Pfeiffer
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | |
| 11-00284 | 09/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Carl Drury
Respondent Lawyers(s): Carl M. Drury
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 11-01196 | 09/14/2011 | Claimant(s): UBS Financial Services Inc., UBS Financial Services Inc of Puerto Ric
Claimant Lawyers(s): Eileen O'Connell Arcuri, Megan A. Smith
Respondent(s): Carmen Sanchez
Respondent Lawyers(s): Carmen Sanchez
Arbitrator(s): Monroe Mitchel
Hearing Site: San Juan, PR
| | |
| 10-03837 | 09/14/2011 | Claimant(s): The Richard Steinberg Living Trust
Claimant Lawyers(s): David E. Bamberger
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Kinchen C. Bizzell, Alun Hywel Jones, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
