| 16-02843 | 03/20/2017 | Claimant(s): Bernard DelGiorno, Nicholas Lomaglio
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | |
| 16-00290 | 03/09/2017 | Claimant(s): Elsie Hernandez Ferrari, Elsie, Herman and Annette Hernadez
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Marc T. Danon, Stuart K. Furman, Kenrick Albert Pratt
Hearing Site: Miami, FL
|  | $505,000 |
| 16-03595 | 03/06/2017 | Claimant(s): Sean Moran
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 16-00676 | 03/03/2017 | Claimant(s): Vickie Little
Claimant Lawyers(s): Craig H. Durham
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Larry T. Coady
Hearing Site: Boise, ID
| | |
| 15-00579 | 03/01/2017 | Claimant(s): Glen Raque
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s):
Hearing Site: Louisville, KY
| | Expungement |
| 16-02858 | 02/21/2017 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 13-03520 | 02/17/2017 | Claimant(s): Luis Romero Lopez, Luis R. Romero Lopez Pledged Collateral
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones-Rivera
Arbitrator(s): Joyce F. Glucksman, Reinaldo Royo, Robert J. Buchner
Hearing Site: San Juan, PR
| | $10,000,000 |
| 16-00059 | 02/15/2017 | Claimant(s): Lee Stahl
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Paul S. Biederman, Karen Isabel Bedrosian - Richardson, Susan Romano
Hearing Site: New York, NY
| | Expungement |
| 15-03338 | 02/15/2017 | Claimant(s): Thurman Willis
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Daniel E. Gulden, Samuel Appel, Brock Bingham Gordon
Hearing Site: Atlanta, GA
| | $0 |
| 13-03717 | 02/14/2017 | Claimant(s): The Fideicomiso Santa Barbara Trust
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Randi Perry Spallina, Ross Firsenbaum
Arbitrator(s): Jerrold Levine, Richard S. Herman, Carl Henry Perdue
Hearing Site: Miami, FL
| | $363,875 |
