| 08-04398 | 11/12/2009 | Claimant(s): Northern Oil and Gas.
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Douglas G. Plank, Emily F. Seesel, Duane W. Krohnke
Hearing Site: Minneapolis, MN
|  | $875,352 |
| 08-03293 | 10/30/2009 | Claimant(s): Gail Pasternack
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joseph F. Kelley, Mitchell Jay Bayer, Sam Antar
Hearing Site: New York, NY
| | $67,000 |
| 08-04021 | 10/29/2009 | Claimant(s): Carol A. Villamana Trustee of, Louis C. Villamana Trustee of
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Crowley
Arbitrator(s): Roger L. Crossland, Marvin H. Ginsky, Henry Theodore Vogt
Hearing Site: Hartford, CT
| | $75,616 |
| 09-01310 | 10/27/2009 | Claimant(s): Carol deMontel
Claimant Lawyers(s): Carol deMontel
Respondent(s): Jennifer Goodman, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): R. Peter Faris
Hearing Site: Albuquerque, NM
| | $0 |
| 09-01414 | 10/27/2009 | Claimant(s): Gayle Speights, Ray Speights
Claimant Lawyers(s): Cassidy L. Anderson
Respondent(s): UBS Financial Services Inc., Robert Johnston
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Lawrence M. Oberdank
Hearing Site: Birmingham, AL
| | $213 |
| 09-01884 | 10/15/2009 | Claimant(s): Michael Matis
Claimant Lawyers(s): Alexander Melbardis
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $213 |
| 08-03766 | 10/12/2009 | Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
| | $0 |
| 08-03716 | 09/30/2009 | Claimant(s): Joseph Billera, JOGLO Associates
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski
Arbitrator(s): Monroe Mitchel, Will Murphy, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $250,000 |
| 08-03840 | 09/25/2009 | Claimant(s): Robert Carlton, Jr. Residuray Trust
Claimant Lawyers(s): Burleigh T. Kay
Respondent(s): UBS Financial Services Inc., William Rector
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Wesley C. Wilson
Hearing Site: Richmond, VA
| | $0 |
| 09-02027 | 09/16/2009 | Claimant(s): Mark Kaplan
Claimant Lawyers(s): Felix M. Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $25,000 |
