| 22-02171 | 05/11/2023 | Claimant(s): Francisco Landivar
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 22-01909 | 05/11/2023 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 23-00553 | 05/09/2023 | Claimant(s): Brant Ferguson
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez Esq.
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 22-02039 | 05/05/2023 | Claimant(s): Steven Lewine
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
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| 22-02319 | 05/03/2023 | Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, John Murphy
Arbitrator(s): Leonard Arthur Nelson, Tosh Daniel Grebenik, Matthew Stalcup
Hearing Site: Denver, CO
| | |
| 22-02209 | 05/02/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 19-01127 | 04/28/2023 | Claimant(s): Trent L. Rosenthal Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Francis Joseph Bourgeois, Julie Marie Miller, Edwin Kisiel
Hearing Site: Houston, TX
|  | Expungement |
| 22-01403 | 04/27/2023 | Claimant(s): Myung Won
Claimant Lawyers(s): Myung Won
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): Anthony D. DeToro, Michael John Florio, Ellie Vilendrer
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01873 | 04/25/2023 | Claimant(s): Concert Capital Limited
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Martin A. Feigenbaum, Stephanie Jeannette Charny, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212 |
| 22-02445 | 04/21/2023 | Claimant(s): Frank Carrasco
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
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