| 18-01757 | 10/10/2018 | Claimant(s): Edgardo Ferrer
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Steven Gerard Goerke
Hearing Site: San Juan, PR
| | |
| 18-00333 | 10/09/2018 | Claimant(s): Melanie Folstad
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 17-01152 | 10/04/2018 | Claimant(s): Joan Gara
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Langfred W. White, Victoria G.A. Willingham, Brian Michael Kane
Hearing Site: Jacksonville, FL
|  | Expungement |
| 18-00435 | 10/02/2018 | Claimant(s): Jeffrey Speicher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Rody P. Biggert
Hearing Site: Denver, CO
| | |
| 17-00230 | 09/28/2018 | Claimant(s): Elide Corporation
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Robert B. Hansohn, Robert E. Jenks, Aurelio A. Garcia
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-01543 | 09/24/2018 | Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 18-00971 | 09/21/2018 | Claimant(s): Robert Debbs
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 18-02441 | 09/20/2018 | Claimant(s): Deborah Key
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 18-00225 | 09/14/2018 | Claimant(s): Ariel Bobroff, Gary Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 15-02316 | 08/29/2018 | Claimant(s): Iris Burgos-Rodriguez, Jose Diaz-Burgos, Jose Diaz-Martinez, Nellie Aponte-Flecha
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Joel M. Everest
Arbitrator(s): David Edward Upton, Debra Black Leo, Ronald L. Goss
Hearing Site: San Juan, PR
| | $300,000 |
