| 18-01545 | 05/13/2019 | Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Maria Paz Chacon
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
| 18-02839 | 05/13/2019 | Claimant(s): Marissa Zalay
Claimant Lawyers(s): E. LeBron Free
Respondent(s): UBS Financial Services Inc., Michael Cowan, Comerica Securities
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Darryl C. Wilson, Martin M. Van Luven, Oliver J. Janney
Hearing Site: Tampa, FL
|  | Dismissed by Rule 12206/12504 |
| 19-00421 | 05/09/2019 | Claimant(s): Yangchen Lama
Claimant Lawyers(s): Consuelo A. Mejer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 18-03476 | 05/08/2019 | Claimant(s): Brett Oley
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 17-03428 | 05/08/2019 | Claimant(s): Herman Fuchs, Mina Fuchs
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Robert E. Anderson, Edward W. Morris, Sylvia Kaminsky
Hearing Site: Newark, NJ
| | $0 |
| 18-00926 | 05/07/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Mark Santia
Respondent Lawyers(s): Brian J. Sommer
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
| | |
| 18-03798 | 05/02/2019 | Claimant(s): John Lahoud
Claimant Lawyers(s): Jennifer Willey
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Gregory S. Sparer
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | |
| 18-04271 | 05/01/2019 | Claimant(s): Thomas Garity
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
| | |
| 18-04316 | 04/26/2019 | Claimant(s): Wilson Colberg-Trigo
Claimant Lawyers(s): Enrique J. Mendoza-Mendez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos A. Bobonis, Kathryn Perreault
Arbitrator(s): Gerald Silverman, Victor Calderon, Amalia Eugenia Cardona-Fuster
Hearing Site: San Juan, PR
| | |
| 18-03012 | 04/23/2019 | Claimant(s): Martin Schroeder
Claimant Lawyers(s): Martin Lee Schroeder
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Jeffry M. Bauer, Anthony J. Bove, Michael James Malone
Hearing Site: Detroit, MI
| | |
