| 10-03177 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): David Baum
Respondent Lawyers(s): John H. Peavy
Arbitrator(s): Frank W. Virgin, Cheryl A. Hooks, John F. O'Neill
Hearing Site: Atlanta, GA
| | |
| 10-05132 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Maehl
Respondent Lawyers(s): Michael Maehl
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | |
| 10-04768 | 05/05/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Tolstoi
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
| | |
| 10-01085 | 04/26/2011 | Claimant(s): John Mason
Claimant Lawyers(s): John A. Mason
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy
Hearing Site: Los Angeles, CA
|  | $13,000 |
| 09-07229 | 04/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): David Pressly
Respondent Lawyers(s): David Pressly
Arbitrator(s): David M. Snyder, Karla Y. Vogel, Reid P. Conklin
Hearing Site: Atlanta, GA
| | |
| 10-01767 | 04/20/2011 | Claimant(s): Mouna Hashem
Claimant Lawyers(s): Cynthia Rollings
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Scott A. Miniter
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 10-02052 | 04/12/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Greg Harmon
Respondent Lawyers(s): Greg W. Harmon
Arbitrator(s): Nicholas John Taldone
Hearing Site: Orlando, FL
| | |
| 09-02882 | 04/08/2011 | Claimant(s): Angela Schwausch
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): UBS Financial Services Inc., Kenneth Logsdon, Michael Trahan
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Kurt L. Smith, Frances Johnson Wright, James Douglas Haigh
Hearing Site: Dallas, TX
| | $25,000 |
| 09-01787 | 03/31/2011 | Claimant(s): Daniel Farash
Claimant Lawyers(s): Louis F. Burke
Respondent(s): UBS Financial Services Inc., Steven Feit
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): J. Martin McDonough, Marguerite B. Filson, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 10-04125 | 03/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Shawn Sullivan
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): David Love
Hearing Site: Boston, MA
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