| 16-03174 | 03/07/2018 | Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat
Hearing Site: San Francisco, CA
|  | Expungement |
| 17-01310 | 03/05/2018 | Claimant(s): Christopher Metcalf, Jeffrey Cole
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | |
| 16-03079 | 03/05/2018 | Claimant(s): The Robert A. Weitzel Trust
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David Buffa
Arbitrator(s): Kathleen P. Helbig-Hannan, Eileen B. Vernon, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | Expungement |
| 15-01173 | 03/01/2018 | Claimant(s): Dora De Cortes, Ignacio Gelpi, Copesa., Gran Almirante.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vincente
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Linette Figueroa-Torres
Arbitrator(s): Andrea U. Calve, Richard Carl Smukler, James Howell Garrison
Hearing Site: San Juan, PR
| | Expungement |
| 16-03269 | 02/28/2018 | Claimant(s): Bertram Tamarkin, Bernita Tamarkin Estate Tax Shelter, Bertram Tamarkin Trust U/A DTD
Claimant Lawyers(s): Jared A. Levy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephan M. Louviere
Arbitrator(s): Lawrence M. Green, Richard J. Kaplan, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02536 | 02/23/2018 | Claimant(s): Angel Cruz Colon, Betzaida Hernandez, Carmen Ortiz Nevarez, Hector Rodriguez-Lopez, Myrna Rivera Marengo, William Reyes
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati, Roberto C. Quinones-Rivera
Arbitrator(s): James L. Warren, Theodore Haynes, Carol Denise Phelps
Hearing Site: San Juan, PR
| | $521,075 |
| 15-01866 | 02/13/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Isidro Miramontes, Miramontes Capital
Respondent Lawyers(s): Anthony R. Bisconti, David Harrison
Arbitrator(s): Milton N. Gross, Marie Ann Stein, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | |
| 17-00853 | 02/12/2018 | Claimant(s): Craig Price
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Frederick P. Hartman, Richard W. Epstein, Gilbert A. Schnirman
Hearing Site: Boca Raton, FL
| | |
| 17-01309 | 02/09/2018 | Claimant(s): Christopher Metcalf
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Paul Smith Besson
Hearing Site: Hartford, CT
| | |
| 17-02877 | 02/08/2018 | Claimant(s): Benjamin Sax, Eric Bodner
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollone
Arbitrator(s): William James Cortellessa
Hearing Site: New York, NY
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