| 20-02891 | 04/01/2021 | Claimant(s): Eric Haubert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
| | |
| 19-02702 | 03/31/2021 | Claimant(s): Lisa Fisher, Matthew Fisher
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul Lansing, Lynn Hirschfeld Brahin, Marvin Brown
Hearing Site: Columbus, OH
|  | $370,922 |
| 17-03115 | 03/22/2021 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Joseph Modero
Respondent Lawyers(s): Jenice L. Malecki
Arbitrator(s): Michael H DuBoff, Eric Moss Stein, Judith B Weinstock
Hearing Site: Jersey City, NJ
| | |
| 20-03221 | 03/18/2021 | Claimant(s): Angus Miller
Claimant Lawyers(s): Sarah Yates
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
| | |
| 20-02437 | 03/17/2021 | Claimant(s): Peter McColgan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Stephen P. Calardo
Hearing Site: Cincinnati, OH
| | |
| 20-00767 | 03/15/2021 | Claimant(s): Matthew Sotland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Kevin R. Zehe
Hearing Site: Buffalo, NY
| | |
| 20-00858 | 03/15/2021 | Claimant(s): William Serralles
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): Seth L. Finkel
Hearing Site: San Juan, PR
| | |
| 20-01903 | 03/12/2021 | Claimant(s): James Shoffner
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 19-01410 | 03/12/2021 | Claimant(s): Sherrie Pellini TTee of Sherrie Pellini
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Michael Jaffe, Vaughn Norman Browne, Gerald M. Levine
Hearing Site: New York, NY
| | $0 |
| 19-01535 | 03/12/2021 | Claimant(s): James W. Johnston, as Trustee of the
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): James W. Geiger, Richard Carl Smukler, Thomas Richard Blake
Hearing Site: Boca Raton, FL
| | $0 |
