| 19-03049 | 01/19/2021 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 20-02117 | 01/15/2021 | Claimant(s): Timothy Lofton
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc.
Respondent Lawyers(s): Deirdre Wolff, Omar Perez
Arbitrator(s): John C. Aten
Hearing Site: Cincinnati, OH
| | |
| 20-01606 | 01/08/2021 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Edward R. Niederriter, Sheryl Sagel, Justin Wallace Askins
Hearing Site: Boca Raton, FL
| | |
| 20-02829 | 12/30/2020 | Claimant(s): Angela Roessel
Claimant Lawyers(s): Angela S. Roessel
Respondent(s): Joseph Schirripa, UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-03242 | 12/24/2020 | Claimant(s): Marcus Fagersten
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 20-03098 | 12/23/2020 | Claimant(s): Jeremy Mykulak, Jon Ledoyen
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 19-00522 | 12/22/2020 | Claimant(s): Gerald S. Backman 2007 Revocable Trust,
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Gary M. Landau, Christopher J. Klein, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $90,050 |
| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Settlement |
| 19-03441 | 12/18/2020 | Claimant(s): John Miller
Claimant Lawyers(s): Andrew J. Rodgers
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Leona Beane, Amy Jill Baranoff, Patricia Kathleen Costello
Hearing Site: New York, NY
| | $0 |
| 20-01608 | 12/17/2020 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert S. Natiss, Kimberly A. Gilmour, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | |
