| 08-02599 | 04/20/2009 | Claimant(s): Betsy Rubin, Fred Rubin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): David L. Hodgson, Steven E. Eisenberg, Gary Paul Whorton
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 08-04010 | 04/17/2009 | Claimant(s): Seth D. Rose and Louise Rose
Claimant Lawyers(s): Seth Rose
Respondent(s): John Dolan, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $213 |
| 08-02628 | 04/09/2009 | Claimant(s): Harley Bjelland, Harley L. Bjelland, A Prof. Corp.
Claimant Lawyers(s): Harley L. Bjelland
Respondent(s): Kelly Dougherty, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02130 | 03/30/2009 | Claimant(s): Phazar Corp.
Claimant Lawyers(s): Robert L. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Maryanne M. Esser, Raul Antonio Canez, Robert E. Behrendt
Hearing Site: Dallas, TX
| | $0 |
| 08-03537 | 03/25/2009 | Claimant(s): Elliot Burstein
Claimant Lawyers(s): Elliot L. Burstein
Respondent(s): UBS Financial Services Inc., Sharon Ford
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | $1,585 |
| 08-01240 | 03/13/2009 | Claimant(s): Delta A. Harrison Trust, Eugene L. Harrison Trust
Claimant Lawyers(s): Brian J. Rayment
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven J. Balaban, Carroll O. Johnson, Helmut O. Wolff
Hearing Site: Oklahoma City, OK
| | $0 |
| 08-00476 | 03/05/2009 | Claimant(s): Eileen Valentino-Condon
Claimant Lawyers(s): Brett D. Sherman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Carol E. Weir, Saul Scheier, Mae A. Brudner
Hearing Site: New York, NY
| | |
| 08-02467 | 02/06/2009 | Claimant(s): Raymond Haworth
Claimant Lawyers(s): Raymond P Haworth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bernard Williams
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $300 |
| 07-02997 | 01/28/2009 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Kevin O'Neil
Respondent Lawyers(s): Kevin P. O'Neil
Arbitrator(s): Dallas Whitney Coffman, Lane Steven Bucklan, James M Coakley
Hearing Site: Hartford, CT
| | |
| 07-03603 | 12/30/2008 | Claimant(s): James Apostle
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John J. Lynch, Louis H. Miron, Edward W. Morris
Hearing Site: Newark, NJ
| | |
