| 20-01107 | 08/19/2020 | Claimant(s): Albert Carpenter
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley, UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Amanda B. Protess, Omar Perez, Trae D. Meyr
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
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| 19-03715 | 08/05/2020 | Claimant(s): Gonzalo Castano, Miguel Carrillo
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-00919 | 07/31/2020 | Claimant(s): Joseph Coccimiglio
Claimant Lawyers(s): Joseph Coccimiglio
Respondent(s): James Dillon, UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 20-01159 | 07/29/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Patrick J. Bradley
Respondent(s): Roger Graham
Respondent Lawyers(s): Roger Ainsworth Graham
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
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| 19-03758 | 07/24/2020 | Claimant(s): Dax McCraken
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
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| 19-03717 | 07/22/2020 | Claimant(s): Gonzalo Castano
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebbish
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
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| 19-03287 | 07/21/2020 | Claimant(s): Michael Greenstone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 19-02957 | 07/15/2020 | Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 19-02983 | 07/14/2020 | Claimant(s): Robert Daly
Claimant Lawyers(s): Julie Z. Kimball
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s):
Hearing Site: Los Angeles, CA
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| 20-00349 | 07/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): James Shafferman
Respondent Lawyers(s): James Frederick Shafferman
Arbitrator(s): Jeffrey Ackermann
Hearing Site: New Orleans, LA
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