| 20-00601 | 05/01/2020 | Claimant(s): Mark Kravietz
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
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| 19-00418 | 04/30/2020 | Claimant(s): Barney Golden
Claimant Lawyers(s): J. Key Schoen
Respondent(s): UBS Financial Services Inc., Regina Onkst
Respondent Lawyers(s): Michael T. Leigh
Arbitrator(s): Robert J. Scafuri, Barry Goldman, John R. Michael
Hearing Site: Louisville, KY
|  | Settlement |
| 19-00490 | 04/20/2020 | Claimant(s): Rachel Niemuth
Claimant Lawyers(s): Laura Hallmon
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Dineo Coleman Gary, Dianne Connally Betts, Kenneth Haben
Hearing Site: Dallas, TX
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| 19-02150 | 04/09/2020 | Claimant(s): Amy Loughran
Claimant Lawyers(s): Walter J. Korzeniowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
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| 19-03132 | 04/09/2020 | Claimant(s): Barak Raviv
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
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| 18-02622 | 03/27/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Anthony Steffan, Pete Henderson
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Martin M. Berliner, Paul E. Dahlman, John H. Fearnow
Hearing Site: Albuquerque, NM
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| 19-02324 | 03/23/2020 | Claimant(s): David Vigil
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
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| 18-03287 | 03/20/2020 | Claimant(s): Leigh Datzker, Ttee Annabelle Datzker Tr
Claimant Lawyers(s): Leigh Alan Datzker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Kirtley M. Thiesmeyer, Paula K. Konikoff, Marie Ann Stein
Hearing Site: Los Angeles, CA
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| 19-03633 | 03/09/2020 | Claimant(s): Leslie Lauer, Steven LeClair
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Columbus, OH
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| 19-02348 | 03/05/2020 | Claimant(s): Francisco Landivar
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez Del Valle
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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