| 09-03836 | 12/02/2010 | Claimant(s): Dennis E. Flynn IRA
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Bryan Dunn, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Richard D. Fincher, W. Michael Kelley, Robert W. Bruns
Hearing Site: Phoenix, AZ
|  | $71,532 |
| 09-01374 | 11/29/2010 | Claimant(s): Zachary Sech
Claimant Lawyers(s): George M. Reul
Respondent(s): David Singer, Joseph Evelo, UBS Financial Services Inc., Linnell Sullivan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi, James L. Komie, Russell S. Sayre
Arbitrator(s): Emily J. Lewis, Regina F. Burch, A. Brian McIntosh
Hearing Site: Cincinnati, OH
| | |
| 09-04304 | 11/23/2010 | Claimant(s): Myrna Axelrod
Claimant Lawyers(s): Elizabeth Genn
Respondent(s): Jack Kolker, UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Sid Braufman, Martin H. Zern, Donald Raymond McNally
Hearing Site: New York, NY
| | $0 |
| 09-03613 | 11/22/2010 | Claimant(s): Waterlight International S.A.
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Edward Marx, UBS Financial Services Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Mitchell S. Friedman, Linda S. Cole, Jonathan Honig
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-02365 | 11/17/2010 | Claimant(s): Thomas J. Hillman Family Trust
Claimant Lawyers(s): Mark E. Goodman
Respondent(s): Bernard King, UBS Financial Services Inc.
Respondent Lawyers(s): Christopher T. O'Connor
Arbitrator(s): Gerald Cohen, Thomas J. Ray, Jennifer McGillivary
Hearing Site: St. Louis, MO
| | $100,000 |
| 09-01782 | 11/16/2010 | Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
| 10-00080 | 11/15/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Dowley
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Maureen Beyers
Hearing Site: Denver, CO
| | |
| 09-05673 | 11/10/2010 | Claimant(s): Joyce Aucoin
Claimant Lawyers(s): Joyce Aucoin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): James S. Munroe, Suzanne Viau Chamberlain, David L. Maislen
Hearing Site: Los Angeles, CA
| | |
| 08-04357 | 11/03/2010 | Claimant(s): Steven Edelson and Ellen Edelson
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Kenneth Diamond, Cecilia B. Loving, Thomas D. Giordano
Hearing Site: New York, NY
| | $529,688 |
| 10-02707 | 10/29/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C Nowak
Respondent(s): Junius Beaver
Respondent Lawyers(s): Junius Verne Beaver
Arbitrator(s): Kevin R. McDermott
Hearing Site: Louisville, KY
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