| 09-06722 | 08/02/2011 | Claimant(s): Lon Isaacson, Michael Trerotola, Stephen Trerotola, Lon B. Isaacson Associates
Claimant Lawyers(s): Lon B. Isaacson
Respondent(s): UBS Securities LLC, James Shelburne, Joseph Sulentor, UBS Financial Services Inc., Michael Ladge, Richard Frankel, Shawn Patt, UBS AG
Respondent Lawyers(s): Jeffrey W. Kramer, Kendra Canape
Arbitrator(s): Michael D. Harrison, Robert Elman, W. Alex King
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-01371 | 08/01/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Shane Springman, William Brennan
Respondent Lawyers(s): David M. Foster
Arbitrator(s): Stuart Sinai
Hearing Site: Detroit, MI
| | |
| 07-03310 | 07/20/2011 | Claimant(s): Carlo Carrion
Claimant Lawyers(s): Carlo A. Carrion
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): John E. Ohashi, Christine A. Page, Jerry Ellner
Hearing Site: Los Angeles, CA
| | |
| 10-01449 | 07/20/2011 | Claimant(s): Lang Velka, Philip Velka
Claimant Lawyers(s): Lang Velka, Philip Velka
Respondent(s): Christopher Beckett, James Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Audrey H. Ruben
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03203 | 07/18/2011 | Claimant(s): Kevin Schaefer
Claimant Lawyers(s): Jason A. Pollack
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James A. Goodman
Arbitrator(s): Carlos Richard Mangum, Peter H. Daly, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 10-02836 | 07/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Misty Eslinger
Respondent Lawyers(s): Misty Rae Eslinger
Arbitrator(s): Eugene W. Bronski
Hearing Site: Phoenix, AZ
| | |
| 09-05645 | 07/13/2011 | Claimant(s): Bobby Panahi
Claimant Lawyers(s): Peter M. Kunstler
Respondent(s): UBS Financial Services Inc., Trevis Rucci
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas E. Shuck, Robert W. Vernon, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00279 | 07/07/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Susan Keator
Respondent Lawyers(s): David O.N. Johnson
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
| | |
| 10-04642 | 07/07/2011 | Claimant(s): Frank Taylor
Claimant Lawyers(s): F Chet Taylor
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Mark A. Myers, Eric Spencer Buchanan, Patricia Best Vital
Hearing Site: Memphis, TN
| | $357,103 |
| 11-00386 | 07/06/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): James Porrazzo
Respondent Lawyers(s): James M. Porrazzo
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
