| 10-01972 | 05/31/2011 | Claimant(s): Deborah Traficante
Claimant Lawyers(s): Walter Birkel
Respondent(s): James Lacey, UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Douglas Earl McLaren, Gerald B. Marcovsky, Darryl Michael Lee
Hearing Site: Washington, DC
|  | Expungement |
| 09-04721 | 05/27/2011 | Claimant(s): Guy Abbanat
Claimant Lawyers(s): James R. Hubbard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): G. Robert Abrams, Lawrence M. Green, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 10-02304 | 05/27/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Swagger
Respondent Lawyers(s): Walter H. Flamm
Arbitrator(s): William M. Howard, Irving Mindes, Brian A. Maris
Hearing Site: Phoenix, AZ
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| 10-04549 | 05/27/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Frank Baudille
Respondent Lawyers(s): Frank David Baudille
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 10-04891 | 05/20/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Charles Greco
Respondent Lawyers(s): Charles Vincent Greco
Arbitrator(s): Federico C. Alvarez
Hearing Site: Denver, CO
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| 10-05043 | 05/20/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Linda Lawson
Respondent Lawyers(s): Linda S. Lawson
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI
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| 10-05357 | 05/20/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark T. Carberry
Respondent(s): Jessica Shaughnessy
Respondent Lawyers(s): Robert G. Clyne
Arbitrator(s): Franklin P. Chapman
Hearing Site: New York, NY
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| 10-05045 | 05/19/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alma Alcoser
Respondent Lawyers(s): Freddy B. Ruiz
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
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| 10-02310 | 05/18/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Aylmer
Respondent Lawyers(s): Thomas C. Aylmer
Arbitrator(s): Mary Beth Wheeler
Hearing Site: Chicago, IL
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| 08-03790 | 05/10/2011 | Claimant(s): Charles Churchill
Claimant Lawyers(s): Richard J. Braun
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley
Hearing Site: New York, NY
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