| 10-01784 | 09/21/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Patrick Garcia
Respondent Lawyers(s): Patrick A. Garcia
Arbitrator(s): Saul Scheier
Hearing Site: Newark, NJ
| | |
| 10-00993 | 09/14/2010 | Claimant(s): Diane Loper
Claimant Lawyers(s): Diane N. Loper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Milwaukee, WI
|  | $0 |
| 10-01098 | 09/13/2010 | Claimant(s): Eugene Krzywicki, IRA
Claimant Lawyers(s): Eugene Krzywicki
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
| 10-01788 | 09/08/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Richmond, VA
| | |
| 09-04990 | 08/27/2010 | Claimant(s): John Ramey, Madrugada LP # 2, Ramey Company Profit Sharing DTD 1/4/01
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): J Duckworth, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert A. Yates, Ronald O. Bub, James J. Dobbin
Hearing Site: San Diego, CA
| | Expungement |
| 09-01560 | 08/20/2010 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Neda Ataie
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer Lynn Nutter
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 09-06620 | 08/19/2010 | Claimant(s): Koch Construction.
Claimant Lawyers(s): Scott K. Porsborg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Bismarck, ND
| | $0 |
| 09-07241 | 08/19/2010 | Claimant(s): Michael Koch
Claimant Lawyers(s): Scott K. Porsborg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Herbert S. Bratt
Hearing Site: Bismarck, ND
| | $0 |
| 09-02893 | 08/18/2010 | Claimant(s): Steven Steinberg
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 09-02467 | 08/16/2010 | Claimant(s): Darru K. Hsu, Hsu Living trust U/A 05/05/03 Darru Hsu
Claimant Lawyers(s): Darru K. Hsu
Respondent(s): UBS Financial Services Inc., Mildred Peltzman, Neil Gavande
Respondent Lawyers(s): Kathleen Adams, Lawrence Brennan
Arbitrator(s): Douglas E. DeTata, Thomas D. Reese, Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
