| 15-01675 | 02/10/2017 | Claimant(s): David L. Oldani
Claimant Lawyers(s): Richard Frankowski
Respondent(s): UBS Financial Services Inc., Stewart Anderson
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Nashville, TN
|  | $0 |
| 16-01775 | 01/26/2017 | Claimant(s): Patrick Biggins
Claimant Lawyers(s): Mark Wilson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Bertrand C. Moser, Robert L. Rolnick, David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 16-02377 | 01/23/2017 | Claimant(s): Bradford Smith
Claimant Lawyers(s): Mark Appleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $300 |
| 15-03455 | 01/20/2017 | Claimant(s): Joseph La Ferla
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I Hantman
Arbitrator(s): Thomas Caiaffa, Madelon M. Rosenfeld, Selma Moy
Hearing Site: New York, NY
| | |
| 16-01367 | 01/17/2017 | Claimant(s): Richard Zinman
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | |
| 13-02866 | 01/11/2017 | Claimant(s): Madeline Gomez-Horta, Socorro Horta, Victor Gomez, Inversiones VM Gomez
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Jose Ramirez, UBS Financial Services Inc., UBS Financial Services Inc Puerto Rico
Respondent Lawyers(s): Guillermo Ramos Luina, Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): S. William Gersten, Jeffrey R. Roth, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | $18,214,900 |
| 16-02952 | 01/09/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Roger Bell
Respondent Lawyers(s): Roger Ericson Bell
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 16-02365 | 12/23/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Timothy Fannin
Respondent Lawyers(s): Timothy Fannin
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 14-03122 | 12/22/2016 | Claimant(s): Alastair Short
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Howard D. Jacob, John F. Duane, Clarence Smith
Hearing Site: New York, NY
| | Expungement |
| 16-02320 | 12/19/2016 | Claimant(s): Eric Bodner
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
