| 16-03148 | 04/09/2018 | Claimant(s): Scott Feldman, The Scott H & Janet J Feldman Rev. Trust
Claimant Lawyers(s): Michael S. Burg
Respondent(s): UBS Financial Services Inc., Michael Keane
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Jay Alan Kranis, Lorrie E Whitfield, Lorraine Marie Brennan
Hearing Site: New York, NY
|  | $805,120 |
| 16-01663 | 03/30/2018 | Claimant(s): Fionnuala Stockton, Joseph Stockton, JFS Ventures Ltd.
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Jonathan Charles Day
Hearing Site: Houston, TX
| | Expungement |
| 17-00592 | 03/29/2018 | Claimant(s): Juan Medero-Fernandez, Maria Navedo, Juan Medero-Fernandez Retirement Plan
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Jaime H. Scivley, Roberto C. Quinones
Arbitrator(s): Robert J. Gregory, Alan C. Granath, Ronald L. Goss
Hearing Site: San Juan, PR
| | $1,880,000 |
| 17-00965 | 03/28/2018 | Claimant(s): Martin Finn
Claimant Lawyers(s): Martin J. Finn
Respondent(s): Brian Cain, Jason Chandler, Kat Koutsantonis, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Morton S. Bunis
Hearing Site: New York, NY
| | |
| 16-00658 | 03/28/2018 | Claimant(s): Richard Levine
Claimant Lawyers(s): Adam Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Michael J. Quarequio, Richard Carl Smukler, John B. Sochacki
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-02228 | 03/23/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James E. Morgan
Respondent(s): Kenneth Tyrrell
Respondent Lawyers(s): Jeffrey F. Robertson
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | |
| 15-03421 | 03/20/2018 | Claimant(s): Antonio Gnocchi Franco, A.G. Franco Law Off. Pension Plan 1/1/89
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi Perry Spallina, Sara Soto
Arbitrator(s): Lawrence S. Silver, Gilbert A. Schnirman, Will Murphy
Hearing Site: Miami, FL
| | $270,639 |
| 17-02642 | 03/19/2018 | Claimant(s): Glen Titan, Royce Bergman
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | |
| 16-01853 | 03/13/2018 | Claimant(s): Jennifer Marun, representing the estate
Claimant Lawyers(s): Rachel Vrana
Respondent(s): David Dodd, David Reicks, Elizabeth Zuniga, Citigroup Global Markets., Juan Cabanas, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Michael E. Rohde, Shawn Michael Spaulding, Charles H. Dick
Hearing Site: San Diego, CA
| | Expungement |
| 17-01443 | 03/08/2018 | Claimant(s): Rafael Rivera
Claimant Lawyers(s): Linette Figueroa
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto Quinones
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
