| 15-00097 | 06/22/2016 | Claimant(s): John McNicholas, Natalie Illig McNicholas
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Glenn Franklin Fuller
Hearing Site: Miami, FL
|  | Expungement |
| 15-00829 | 06/16/2016 | Claimant(s): Judith De Anda, The Regina G. Doyle Separate Property Re
Claimant Lawyers(s): Judith De Anda
Respondent(s): UBS Financial Services Inc., Teresa Harmon
Respondent Lawyers(s): Erin Weesner-McKinley, Patrick R. Mahoney
Arbitrator(s): Alan M. Rosen, Steven A. Wawra, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01030 | 06/16/2016 | Claimant(s): Robert Szabo
Claimant Lawyers(s): Russell Mark Nasteff
Respondent(s): UBS Financial Services Inc., Thomas Freeman
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): William M. Getzoff, Keith E. Mattern, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
| | $0 |
| 14-01256 | 05/23/2016 | Claimant(s): Asociacion de Empleados Del Estado Libre
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto Quinones
Arbitrator(s): Gerald Silverman, Clement Osimetha, Sydney E. Blum
Hearing Site: San Juan, PR
| | $0 |
| 15-02115 | 05/17/2016 | Claimant(s): Moussa Sarwa, Touneh Sarwa
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Betty Chen, Stephen M. Schaedtler, Mary Julia O'Connell
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 12-00554 | 05/12/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Wells Fargo Advisors, David Kinnear
Respondent Lawyers(s): Gary I. Blackman
Arbitrator(s): G. Gale Roberson, Robert J. Larson, Rody P. Biggert
Hearing Site: Chicago, IL
| | |
| 16-00254 | 05/12/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): James L. Komie
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Michael James Dinapoli
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 15-00833 | 05/06/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alan Romero
Respondent Lawyers(s): Alan Michael Romero
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 15-01778 | 05/06/2016 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edward Baer, William G. Binckes, Howard L. Sobel
Hearing Site: New York, NY
| | |
| 15-02423 | 05/03/2016 | Claimant(s): Brad Kalas
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard A. Emirhanian, Jeffrey E. Skogsbergh, Robert Rosen
Hearing Site: Los Angeles, CA
| | |
