| 19-03630 | 11/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell, Elizabeth H. Lindh
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 20-02609 | 11/16/2020 | Claimant(s): James Smith
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
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| 20-00438 | 11/10/2020 | Claimant(s): Walter Stucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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| 20-01925 | 11/09/2020 | Claimant(s): Paul Stevens
Claimant Lawyers(s): Omar Perez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 20-02659 | 11/06/2020 | Claimant(s): Matthew Powell
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Louisville, KY
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| 20-00119 | 10/30/2020 | Claimant(s): Terance Power
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 20-01600 | 10/30/2020 | Claimant(s): Victor Lizardi
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Ron Pekoe, Thomas Joseph Atkinson, Ken Ziesenheim
Hearing Site: Orlando, FL
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| 20-01578 | 10/23/2020 | Claimant(s): Lee Fehr
Claimant Lawyers(s): Lee C Fehr
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
|  | $450 |
| 19-02180 | 10/19/2020 | Claimant(s): Amanda B. Straight Revocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): John F. Duane, Gerald H. Grayson, Patricia Kathleen Costello
Hearing Site: New York, NY
| | $0 |
| 20-00927 | 10/16/2020 | Claimant(s): Anita Brennan, Marina Tudela
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): Elena G. Rodriguez
Hearing Site: San Juan, PR
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