| 08-00685 | 12/18/2008 | Claimant(s): Dennis Rosenstock
Claimant Lawyers(s): James D. Portman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert J. Ruben, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
|  | $0 |
| 04-08590 | 12/03/2008 | Claimant(s): Kenneth Dean
Claimant Lawyers(s): Kenneth Eugene Dean
Respondent(s): Davis Denny, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Davis M. Denny, Randi Perry Spallina
Arbitrator(s): Michael Hendryx, Charles S. Chester, Sandra Lea McNally
Hearing Site: Houston, TX
| | $0 |
| 07-02149 | 11/12/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Carl Anderson
Respondent Lawyers(s): Carl J. Anderson
Arbitrator(s): Henry Ott-Hansen, Michael D. Neft, Robert G. Conway
Hearing Site: Pittsburgh, PA
| | |
| 08-00102 | 11/11/2008 | Claimant(s): Hong Chan
Claimant Lawyers(s): Wai Mon Chan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
| | $8,614 |
| 07-03545 | 10/17/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Joshua Fortin
Respondent Lawyers(s): Joshua Standish Fortin
Arbitrator(s): Robert P. Fogarty, Patrick J. Burley, Daniel R. LaMacchia
Hearing Site: Cincinnati, OH
| | |
| 07-02676 | 09/24/2008 | Claimant(s): Sophie Rothstein
Claimant Lawyers(s): Edward Rothstein
Respondent(s): Joel Chase, UBS Financial Services Inc., Richard Fitzburgh
Respondent Lawyers(s): Dan A. Rosenbaum, Danl A. Rosenbaum
Arbitrator(s): Vicki R. Lawrence, Sandra J. Mullings
Hearing Site: New York, NY
| | $0 |
| 06-00111 | 09/05/2008 | Claimant(s): Estate of David Roberts
Claimant Lawyers(s): Jerry L. Colclazier
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ashley Young Adams
Arbitrator(s): Lincoln F. Stock, Dale B. Rycraft, Dee Newell
Hearing Site: Las Vegas, NV
| | $0 |
| 07-03435 | 08/13/2008 | Claimant(s): Paul Vagnozzi, Estate of Charlotte Vagnozzi
Claimant Lawyers(s): Richard DeVita
Respondent(s): Enrico Caiazzo, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Martin Kobak, John L. Braxton, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 06-05306 | 08/07/2008 | Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V
Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens
Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc.
Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes
Hearing Site: San Diego, CA
| | $0 |
| 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
| | |
