| 15-01774 | 11/04/2016 | Claimant(s): The AECR Living and Grantor Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Trust Co. of Puerto Rico
Respondent Lawyers(s): Peter G. Neiman, Roberto C. Quinones-Rivera
Arbitrator(s): Kenneth R. Starr, George Allen Whitehouse, Sam Gowin
Hearing Site: San Juan, PR
|  | $957,797 |
| 16-00443 | 11/03/2016 | Claimant(s): The Atle Fjeld and Kirsten Fjeld joint L
Claimant Lawyers(s): Atle Fjeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Cornelius C. Clancy, Gordon M. Wase, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | $10,000 |
| 14-02688 | 10/25/2016 | Claimant(s): Ana Galva Rodriguez, Josefa Rodriguez, Paula Rodriguez Rodriguez
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto Quinones-Rivera, W. Preston Martin
Arbitrator(s): Daniel J. Pagnano
Hearing Site: San Juan, PR
| | Expungement |
| 15-00831 | 10/12/2016 | Claimant(s): Hedayat Daie
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-03363 | 10/07/2016 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 16-01281 | 10/06/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Robert Kuhn
Respondent Lawyers(s): Robert M. Kuhn
Arbitrator(s):
Hearing Site: Dallas, TX
| | |
| 16-00164 | 09/27/2016 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Deborah Gale Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Scott K. Shaw, Nickolas F. Monteforte, John Francis Markuns
Hearing Site: Boston, MA
| | |
| 15-00295 | 09/09/2016 | Claimant(s): Jenny Robles Adorno, Jose Rivera Riera, Desarrollos Jarra S.E.
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Edwin A. Zipf, Roberto C. Quinones
Arbitrator(s): Thomas Joseph Atkinson, Donald Theodore Ryce, Michael S. Yauch
Hearing Site: San Juan, PR
| | $750,000 |
| 15-02213 | 09/07/2016 | Claimant(s): Cory Fein, Kathryn Kersh, Paula Ebow, Sylvia Vargas, Caddell & Chapman
Claimant Lawyers(s): Cory S. Fein
Respondent(s): UBS Financial Services Inc., Michael Karchmer
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 16-01224 | 09/06/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): Robert Hirsch
Respondent Lawyers(s): Robert M Hirsch
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
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