| 16-02000 | 10/13/2017 | Claimant(s): National Steel & Copper Plate Co.., Jon R. Marden Living Trust
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David Rich, Andrea R. Jacobs, John B. Sochacki
Hearing Site: Boca Raton, FL
|  | Expungement |
| 17-00893 | 10/11/2017 | Claimant(s): Matthew Shafer
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David G. Pittinos, Richard S. Herman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 17-01771 | 09/21/2017 | Claimant(s): Farhood Kasiri
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 16-01948 | 09/20/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Carlos Rodriguez
Respondent Lawyers(s): Carlos A. Rodriguez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 17-01602 | 09/19/2017 | Claimant(s): Leonard Kichler
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | |
| 17-00085 | 09/18/2017 | Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): William C. Pack, Jeffrey M. Allen, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 16-02595 | 09/08/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Ted Hawks
Respondent Lawyers(s): Ted W. Hawks
Arbitrator(s): Steven M. Guttell
Hearing Site: Phoenix, AZ
| | |
| 15-01760 | 08/31/2017 | Claimant(s): Jose Sanchez-Ocasio
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Richard J. Kaplan, Kenneth Steven Canfield, Deborah Johns Tatum
Hearing Site: Atlanta, GA
| | Expungement |
| 17-00114 | 08/30/2017 | Claimant(s): Peter Castro
Claimant Lawyers(s): Peter de Castro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Simon Levy
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | |
| 15-01865 | 08/21/2017 | Claimant(s): Carlos Capacete
Claimant Lawyers(s): Judith Berkan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Christopher J. Klein, Jaime Rosario, Rafael Maldonado Perez
Hearing Site: San Juan, PR
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