| 08-03813 | 04/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Brian Prost
Respondent Lawyers(s): Brian E. Prost
Arbitrator(s): Bernard S. Carrey, Oscar W. Carlson, Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 08-04774 | 04/01/2010 | Claimant(s): Joseph Vanek
Claimant Lawyers(s): Alberto Rodriguez
Respondent(s): UBS Securities LLC, Douglas Eaton, UBS Financial Services Inc., UBS AG
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John F Fennig, Robert S. Sugarman, Michael Howard Rosenbloom
Hearing Site: Chicago, IL
|  | Stipulated Award and Expungement |
| 08-04703 | 04/01/2010 | Claimant(s): Terry Green
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): John K. Boyce, Charles E. Munson, Byron G. Hannah
Hearing Site: Houston, TX
| | $0 |
| 09-01467 | 03/31/2010 | Claimant(s): Faye Ruback
Claimant Lawyers(s): David A. Weintraub
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): John R. Loss, Jeffrey C. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
| | $0 |
| 09-05973 | 03/31/2010 | Claimant(s): David G. Steakley and Paula B. Steakley
Claimant Lawyers(s): David G. Steakley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert Matthews
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 09-03944 | 03/22/2010 | Claimant(s): Jeffrey Kraemer, Linda Kraemer
Claimant Lawyers(s): Jeffrey Kraemer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
| | $59,251 |
| 09-01739 | 03/17/2010 | Claimant(s): Stephen Farley
Claimant Lawyers(s): Stephen A. Farley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $150 |
| 09-02561 | 03/05/2010 | Claimant(s): Rose Weisz
Claimant Lawyers(s): Robert E. Goodman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Joshua D. Wallach, Larry J. Craddock, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 09-02683 | 03/02/2010 | Claimant(s): Emily Czelusniak, Joan Boutin, joint accout with Emily Cze, Linda Dudek, joint account with Emily Cz
Claimant Lawyers(s): Emily Czelusniak
Respondent(s): UBS Financial Services Inc., Peter Borrello, Richard Crews
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Lewis S. Kurlantzick
Hearing Site: Hartford, CT
| | $150 |
| 09-01382 | 02/23/2010 | Claimant(s): Jane Chang, Kwen-Jen Chang
Claimant Lawyers(s): Andrew O Whiteman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael P. O'Mullan
Arbitrator(s): Zeb E. Barnhardt, Lynne T. Albert, David H. Grubbs
Hearing Site: Raleigh, NC
| | $108,750 |
