| 19-01215 | 10/02/2019 | 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): Gerald Silverman
Hearing Site: San Juan, PR
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| 19-00749 | 10/01/2019 | 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): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 18-04120 | 09/30/2019 | Claimant(s): Jeff Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 19-00378 | 09/24/2019 | 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): Roberto C. Quinones-Rivera
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
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| 15-03186 | 09/17/2019 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Stephen M Kramarsky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carl Mills
Arbitrator(s): Leonard M. Bakal, Susan E. Harkins, Margaret Else Nelson
Hearing Site: New York, NY
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| 18-00565 | 09/12/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John P. Leonard
Respondent(s): Alexander DiMartini
Respondent Lawyers(s): Dennis Houdek
Arbitrator(s):
Hearing Site: New York, NY
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| 18-03141 | 09/11/2019 | Claimant(s): Betty Bailey, Betty Bailey IRA
Claimant Lawyers(s): David W. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Lynne M. Gomez, Camille Morris Tankersley, Heather Gaile Layton
Hearing Site: Houston, TX
|  | $555,000 |
| 18-04411 | 09/09/2019 | Claimant(s): Kathleen Hobart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
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| 19-00671 | 09/04/2019 | Claimant(s): Rafael Rivera
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): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 18-04367 | 08/29/2019 | Claimant(s): Aaron Olson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Philip Aaron Tymon
Hearing Site: Seattle, WA
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