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
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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
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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
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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 |
06-04621 | 10/05/2007 | Claimant(s): Christine McGinnis Claimant Lawyers(s): Joseph J. Hroch Respondent(s): Fredrick McGinnis, UBS Financial Services Inc. Respondent Lawyers(s): James M. Kimbell, Paul D. Flack Arbitrator(s): Nathan Levy, Mark C. Watler, Michele N. O'Brien Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |