| 10-01624 | 08/31/2011 | Claimant(s): Bryce Jones, Sevi Jones, Jones Family Trust
Claimant Lawyers(s): S. Brett Sutton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Nicholas J. Caputo, Linda M. McCoy, Christopher J. Hadsell
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-05747 | 08/29/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Russell Hill
Respondent Lawyers(s): Russell Marvin Hill
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
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| 10-02753 | 08/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Joseph McMullen
Respondent Lawyers(s): Joseph D. McMullen
Arbitrator(s): Mary Beth Wheeler
Hearing Site: Chicago, IL
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| 10-02736 | 08/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Peter L. Altieri
Respondent(s): Gordon Hook
Respondent Lawyers(s): Joshua A. Hawks-Ladds
Arbitrator(s): Dorothy F. Gray, Aubrey Lees, Kyle Maldiner
Hearing Site: New York, NY
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| 10-01310 | 08/11/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Joseph Stanzi
Respondent Lawyers(s): Anthony J. Hartman
Arbitrator(s): Robert J. Scafuri, Thomas R. Skulina, Marianne L. Simpson
Hearing Site: Cleveland, OH
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| 10-04565 | 08/11/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Alicia Y. Hou
Respondent(s): James Queen
Respondent Lawyers(s): James Allen Queen
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
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| 11-00891 | 08/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Cataldo
Respondent Lawyers(s): Robert A. Cataldo
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
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| 10-00664 | 08/04/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John C. Steele
Respondent(s): Piper Jaffray & Co., Mark Riley
Respondent Lawyers(s): John C. Steele, Marie C. Mirch
Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer
Hearing Site: San Diego, CA
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| 10-00802 | 08/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): John Birrenkott
Respondent Lawyers(s): John M. Birrenkott
Arbitrator(s): James J. Moylan, Marc H. Schtul, James J. Ashe
Hearing Site: Denver, CO
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| 11-01010 | 08/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Alfred Nittoli
Respondent Lawyers(s): Alfred Thomas Nittoli
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
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