| 19-01784 | 11/20/2019 | Claimant(s): Casto Coll Del Rio
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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| 19-00495 | 11/19/2019 | Claimant(s): Stephen Martin
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms, Jon D. Kaplon
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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| 19-01656 | 11/18/2019 | Claimant(s): David Rojas
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): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 19-00353 | 11/13/2019 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard W. Cutler, Howard D. Jacob, Emily M. Altman
Hearing Site: New York, NY
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| 19-00730 | 11/13/2019 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 18-01527 | 11/12/2019 | Claimant(s): Jose F. Ortiz Vazquez IRA, Jose F. Ortiz Vazquez & Sandra M. Garcia
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis
Arbitrator(s): David Edward Upton, Richard H. Porter, Frank V. Tutone
Hearing Site: San Juan, PR
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| 18-03766 | 11/08/2019 | Claimant(s): John Kline
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc., Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill Clarke, Jonathan C. Schwartz
Arbitrator(s): Margaret Elizabeth Gee
Hearing Site: Raleigh, NC
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| 18-04369 | 11/07/2019 | Claimant(s): Robert Disman
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
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| 19-02694 | 11/06/2019 | Claimant(s): Richard Cyphers
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew F. Renna
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
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| 19-00020 | 11/05/2019 | Claimant(s): Don D'Adesky
Claimant Lawyers(s): Lindsay Nasshorn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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