| 21-01937 | 02/11/2022 | Claimant(s): Eduardo Caban Silva
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 19-00509 | 02/11/2022 | Claimant(s): James LeFebvre, Trustee
Claimant Lawyers(s): Bart Heemskerk
Respondent(s): Dennis LeFebvre, UBS Financial Services Inc., Michael Martin, Patrick Donnelly
Respondent Lawyers(s): Dennis L. LeFebvre, Gregory S. Sparer, Matthew B. Baum
Arbitrator(s): Kenneth R. Starr, Brian Patrick Quinn, Jerome Blevins
Hearing Site: Tampa, FL
|  | $0 |
| 21-00147 | 02/08/2022 | Claimant(s): Bradley Lott
Claimant Lawyers(s): Erika Binnix
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy, Miles D. Hart, Todd A. Holleman
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 21-01006 | 02/08/2022 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Stifel, Nicolaus & Co.., UBS Financial Services Inc., Janney Montgomery Scott LLC, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Benjamin J. Biard, Jill B. Clarke, John Murphy, Paul Klein
Arbitrator(s): Sheryl Sagel, Nanci Sondra Landy, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 20-03866 | 02/07/2022 | Claimant(s): Arun Kumar
Claimant Lawyers(s): Blaine Bortnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Catherine Ladnier, Daniel Robbins, Andrew Daniel Levine
Hearing Site: New York, NY
| | |
| 21-02923 | 02/07/2022 | Claimant(s): Gregory Kadet
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 20-00459 | 02/03/2022 | Claimant(s): Joel D. Zychick, Trustee of GST Trust, Trustee of QTIP Trust
Claimant Lawyers(s): Jeffrey Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Marsha Matson, Robert Steven Haught, Randy Atlas
Hearing Site: Boca Raton, FL
| | $1,875,640 |
| 21-02456 | 02/02/2022 | Claimant(s): Robert Clear
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
| | |
| 17-02495 | 01/31/2022 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Michael Margiotta
Respondent Lawyers(s): Steve Alan Buchwalter
Arbitrator(s): Paula K. Konikoff, George Herman Frisch, Jonathan Gartner
Hearing Site: Los Angeles, CA
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| 21-01126 | 01/27/2022 | Claimant(s): David Trogan
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Randi Perry Spallina
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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