| 07-02816 | 07/31/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc., Michael Fisher
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Edward Baer, Carol E. Weir, John N. Polakas
Hearing Site: New York, NY
| | |
| 07-02776 | 07/22/2008 | Claimant(s): Jose Fiquene Barbosa, Evoluon Empreendimentos, LTDA
Claimant Lawyers(s): Saboor H. AbdulJaami
Respondent(s): Claudio Izquierdo, Fabrizio Neves, UBS Financial Services Inc., UBS International.
Respondent Lawyers(s): Claudio Izquierdo, Jeoff M. Cahen, Kenneth G. Crowley
Arbitrator(s): Judith R. MacDonald, Joseph J. Arata, Eric P. Nachman
Hearing Site: New York, NY
|  | $0 |
| 05-00529 | 07/02/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Sandra Grannum
Respondent(s): Christopher Becker
Respondent Lawyers(s): Christopher W. Becker
Arbitrator(s): Theodore Moreines, Nathan J. Minucci, Robert J. Gorgia
Hearing Site: Newark, NJ
| | |
| 07-00911 | 05/01/2008 | Claimant(s): C. Buonassisi
Claimant Lawyers(s): Patrick J Burns
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ben W. White
Arbitrator(s): Herb Schwartz, Colleen C. Hammer, Timothy P. Bogan
Hearing Site: San Francisco, CA
| | |
| 04-00393 | 04/23/2008 | Claimant(s): Peter Grymkowski
Claimant Lawyers(s): Bryan C. Altman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Sheldon M. Jaffe, Arthur F. Brueggeman, W. Alex King
Hearing Site: Los Angeles, CA
| | $31,000 |
| 07-02281 | 04/18/2008 | Claimant(s): Paul Roupinian
Claimant Lawyers(s): Paul Edward Roupinian
Respondent(s): John Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): Theodore G. Bradpiece, Jerry Ellner, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 07-01862 | 03/27/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Joel Griffin
Respondent Lawyers(s): Joel D. Griffin
Arbitrator(s): R. Theodore Moock
Hearing Site: Dallas, TX
| | |
| 07-00114 | 02/27/2008 | Claimant(s): Jason Cohen, Oracle Services, INc. FBO Jason Cohen
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Arthur P. Fisch, Ilene Barbara Zatkin-Butler, Howard Weitz
Hearing Site: New York, NY
| | $500,000 |
| 07-02691 | 02/26/2008 | Claimant(s): John Maisano
Claimant Lawyers(s): John A. Maisano
Respondent(s): Judson Potter, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Jeffrey R. Martin
Hearing Site: Boston, MA
| | $0 |
| 07-02391 | 02/05/2008 | Claimant(s): David N. Fogg & Jane D. Fogg
Claimant Lawyers(s): David N. Fogg
Respondent(s): John McGovern, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $900 |
