| 22-01828 | 06/26/2023 | Claimant(s): Robert Gooden, Tonya Gooden
Claimant Lawyers(s): Tonya M. Gooden
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael J. Ahlstrom, Cassandra Kimberly Ward, Shaquana Ellison
Hearing Site: Atlanta, GA
|  | Dissmissed by Rule 12206 |
| 22-02662 | 06/23/2023 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
| | |
| 22-01579 | 06/22/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 23-00225 | 06/15/2023 | Claimant(s): Eric Yamin
Claimant Lawyers(s): David E. Robbins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Madelyn A. Levy, Edward W. Morris, Gerald M. Levine
Hearing Site: New York, NY
| | |
| 19-01431 | 06/14/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Robert Cohen
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Mark Hammaren, Thomas M. Madden, Melinda George-Bristol
Hearing Site: New York, NY
| | |
| 22-00220 | 06/13/2023 | Claimant(s): Dena Tucker, Estate of Robert P. Tucker
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Jesse Fable, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
| | $0 |
| 20-01209 | 06/07/2023 | Claimant(s): Len Ventura
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Joan Maxine Secofsky, Keely D. Parr, Alfred D Peters
Hearing Site: New York, NY
| | Expungement |
| 22-02205 | 05/22/2023 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 23-00568 | 05/19/2023 | Claimant(s): Nancy Matta
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 22-01600 | 05/19/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Barth Satuloff
Hearing Site: San Juan, PR
| | |
