| 10-01344 | 06/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Elliott Wislar
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Greg Plifka, Bertrand M. Lanchner, Bryan David Glass
Hearing Site: Newark, NJ
| | |
| 10-05147 | 06/20/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Keith Anderson
Respondent Lawyers(s): Keith G. Anderson
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
| | |
| 10-05254 | 06/17/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Hugh Blake-Thomas III
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | |
| 10-02367 | 06/10/2011 | Claimant(s): Edmund Chrostowski
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): UBS Financial Services Inc., Philip Bocketti
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
|  | $0 |
| 10-00361 | 06/09/2011 | Claimant(s): Diane Croce, Pasquale Croce
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Jim Geiger, Richard F. Bieker, Eugene M. Schloss
Hearing Site: Philadelphia, PA
| | $1,520,000 |
| 10-05259 | 06/08/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Tom Krag
Respondent Lawyers(s): Kline Preston
Arbitrator(s): Jay R. Robinson
Hearing Site: Nashville, TN
| | |
| 10-05041 | 06/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Joseph Bazbaz
Respondent Lawyers(s): Joseph Bazbaz
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | |
| 10-05519 | 06/02/2011 | Claimant(s): Randolph Haaran
Claimant Lawyers(s): Randolph Haaran
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph K. Donovan
Arbitrator(s): Keely D. Parr
Hearing Site: Albany, NY
| | $0 |
| 09-07226 | 05/31/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Judith Stilz Ogden, Harvey R. Linder, William Clay Gilbert
Hearing Site: Atlanta, GA
| | |
| 09-05894 | 05/31/2011 | Claimant(s): John Hart
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Gawley, Keith Olin
Arbitrator(s): Paul E. Flora, Thomas J. Patka, Gary E. Marcus
Hearing Site: Tampa, FL
| | Expungement |
