| 09-03582 | 01/18/2011 | Claimant(s): Jason Schall
Claimant Lawyers(s): Mitchell Willoughby
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Menendez
Arbitrator(s): Glenn R. Oxner, Patricia Ann Tracey, Walter J. Wylie
Hearing Site: Columbia, SC
| | |
| 10-03894 | 01/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Gilbert Pugliano
Respondent Lawyers(s): Gilbert Birdinground Pugliano
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
| | |
| 10-01949 | 12/31/2010 | Claimant(s): Patricia Spencer
Claimant Lawyers(s): Patricia Spencer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
|  | $0 |
| 09-04107 | 12/29/2010 | Claimant(s): Jeffrey Bischoff
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer M. Horowitz
Arbitrator(s): Royce Russell, Zuhayr A. Moghrabi, Gary Leonard Leventhal
Hearing Site: New York, NY
| | |
| 10-02582 | 12/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Allison Tarpley, UBS Financial Services Inc.
Respondent Lawyers(s): John M. Phalen, Molly Tatman
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | |
| 09-06443 | 12/28/2010 | Claimant(s): Jeanne Johnson
Claimant Lawyers(s): Glenn J. Campbell
Respondent(s): UBS Financial Services Inc., Wesley Wong
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Robert W. Vernon
Hearing Site: Los Angeles, CA
| | $18,500 |
| 09-02087 | 12/20/2010 | Claimant(s): Thomas Motamed, Thomas Motamed and Christine Motamed
Claimant Lawyers(s): G. Trenholm Walker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard L Martens
Arbitrator(s): Carol Corbett, John L. Braxton, Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | $2,200,000 |
| 09-01613 | 12/14/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Joshua R. Pini
Respondent(s): Edward Walterhouse
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Howard Mark Klausmeier, Roman S. Gribbs, Phillip I. Levin
Hearing Site: Detroit, MI
| | |
| 10-02399 | 12/03/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): Richard Griffler
Respondent Lawyers(s): Richard Elliot Griffler
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | |
| 09-01976 | 12/03/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Anthony Marchese, Carolyn A. Mann, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $2,428,030 |
