| 03-09099 | 01/28/2008 | Claimant(s): Barbara King, The Barbara King Family Trust
Claimant Lawyers(s): Brian Maas
Respondent(s): David Kotowski, David Savetz, UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski, David Katowski
Arbitrator(s): Constantine N. Katsoris, John B. Morgan, Alan R. Sloate
Hearing Site: New York, NY
|  | $1,750,000 |
| 07-00702 | 12/27/2007 | Claimant(s): Robert Goldman, Beth Goldman
Claimant Lawyers(s): Beth Goldman, Robert Goldman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen Adams
Arbitrator(s): Henry L. Dahl
Hearing Site: Phoenix, AZ
| | $0 |
| 07-01852 | 12/21/2007 | Claimant(s): Keith Kritikakos and Hollis L. Orvik
Claimant Lawyers(s): Keith A. Kritikakos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch
Hearing Site: San Francisco, CA
| | $125 |
| 06-00618 | 12/17/2007 | Claimant(s): Steven Thompson
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis
Hearing Site: San Francisco, CA
| | $0 |
| 07-01404 | 12/10/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jamie B. Kennedy
Respondent(s): Stephen Stroud
Respondent Lawyers(s): Stephen D. Stroud
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
| | |
| 06-00880 | 11/26/2007 | Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX
| | |
| 04-05847 | 11/21/2007 | Claimant(s): Gus Kyrkostas and Julie Kyrkostas
Claimant Lawyers(s): Richard M. Roth
Respondent(s): Harry Kroft, Harvey Permutt, UBS Financial Services Inc., Morgan Stanley DW Inc., Richard Jenkin, Stratis Zaferiou, Theo Zaferiou
Respondent Lawyers(s): Marianne Yen, Noah Weissman
Arbitrator(s): Christal J. Henner, Gary W. Sherbell, Cynthia A. DiMarco
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-03316 | 11/15/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Thomas Hicks
Respondent Lawyers(s): Greggory J. Savage
Arbitrator(s): J. Michael Coombs, Eugene R. Nielson, William Anthony Park
Hearing Site: Salt Lake City, UT
| | |
| 06-04247 | 11/06/2007 | Claimant(s): Ethel Vidas, Ethel Vidas Trust Dtd 4/2/1997, Suc.Tr. of the Harry C. Vidas Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Robert H. Griffin
Hearing Site: Cincinnati, OH
| | $91,000 |
| 03-07280 | 10/24/2007 | Claimant(s): Francelle Lewis, Michael Lewis
Claimant Lawyers(s): L. Jerome Stanley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Mark A. Myers, Andrew Phelps Burnside, Robert E. Graves
Hearing Site: New Orleans, LA
| | $0 |
