| 16-02079 | 06/13/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 16-03111 | 06/12/2017 | Claimant(s): Richard Bertain
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 15-01777 | 06/05/2017 | Claimant(s): Ana Maria Estrella
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): Mollie Wagner Neal, George Harrison Lemmond, Deborah Johns Tatum
Hearing Site: Atlanta, GA
|  | Expungement |
| 16-03056 | 06/01/2017 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., H. Beck.
Respondent Lawyers(s): Benjamin Cooper, Francesca M. Lanpher
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Salt Lake City, UT
| | |
| 15-03339 | 05/31/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Nancy Kimball Mellon
Respondent Lawyers(s): Nancy Kimball Mellon
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 16-02093 | 05/26/2017 | Claimant(s): Kurt Sylvia
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Karen Z. Fischer, Sandra J. Bakalus, Stephen Kahane
Hearing Site: Boca Raton, FL
| | |
| 16-02548 | 05/22/2017 | Claimant(s): Annica Ramirez, Jose Castillo
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Hector L. Martinez-Valldejuli, Peter J. Mcdonald, Roberto C. Quinones
Arbitrator(s): Antoinette M. Romano
Hearing Site: San Juan, PR
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| 14-02122 | 05/22/2017 | Claimant(s): Aida Mancini, Conchita Rivera, Joaqmar.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Frank J. Cuccio, Matthew C. Plant
Arbitrator(s): Monroe Mitchel, Keith L. Saunders, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Expungement |
| 16-00207 | 05/19/2017 | Claimant(s): Miguel Barron
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): William G. Binckes, David J. Pine, Paul Bennett Marrow
Hearing Site: New York, NY
| | |
| 16-02078 | 05/19/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
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