| 15-00032 | 11/17/2015 | Claimant(s): John Murabito
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Walter Michael Mathews
Hearing Site: New York, NY
|  | $0 |
| 14-00299 | 11/12/2015 | Claimant(s): Peter Doyle, Peter Doyle IRA
Claimant Lawyers(s): Ruthann Granito
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael Gaico
Arbitrator(s): James J. Fishman, Robert E. Anderson, Nino Armienti
Hearing Site: New York, NY
| | Expungement |
| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | |
| 14-03706 | 11/10/2015 | Claimant(s): Patrick Van Roten
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert E. Anderson, Jeffrey Charles Rooney, Zung T. Nguyen
Hearing Site: New York, NY
| | |
| 14-03227 | 11/05/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Kenneth Ray Noble
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
| 15-00093 | 11/04/2015 | Claimant(s): Michael Kleinfelder
Claimant Lawyers(s): William K. Flynn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew T. Mount
Arbitrator(s): Thomas B. Corey
Hearing Site: Cincinnati, OH
| | |
| 14-03428 | 10/22/2015 | Claimant(s): David Boor, Mark Steinberg
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
| | |
| 13-03403 | 10/08/2015 | Claimant(s): Emma De Perez, Fe Morales, Pedro Gomez, Conjugal Partnership Constituted by Them
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): Will Murphy, Allan R. Lazor, Scott A. Eichhorn
Hearing Site: San Juan, PR
| | $85,626 |
| 13-03708 | 10/06/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Thomas Wilson
Respondent Lawyers(s): Thomas B. Wilson
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
| | |
| 15-00582 | 10/06/2015 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): David Nell
Respondent Lawyers(s): David Nell
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
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