| 12-02706 | 06/18/2015 | Claimant(s): Juan Santiago Gonzalez
Claimant Lawyers(s): Francisco Pujol
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Peter G. Neiman, Roberto C. Quinones-Rivera
Arbitrator(s): Bernard A. Becker, Monroe Mitchel, Todd M. Saunders
Hearing Site: San Juan, PR
|  | $0 |
| 14-03406 | 06/04/2015 | Claimant(s): David Reiser, Robert Dicolo
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
| | |
| 12-03688 | 06/04/2015 | Claimant(s): Ortopedas Associados Del Oeste Retiremen
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Richard J. Kaplan, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | Expungement |
| 14-00125 | 06/04/2015 | Claimant(s): Harriett Finkel, Sidney Finkel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Barth Satuloff, Joseph Benalt, David I. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01416 | 06/01/2015 | Claimant(s): Robert Armstrong
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): D. Bruce Shine
Hearing Site: Louisville, KY
| | |
| 14-02282 | 05/29/2015 | Claimant(s): Kirsten Nielsen
Claimant Lawyers(s): Kirsten A. Nielsen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Richard W. Epstein, Carl Shechter, Edward Arthur Horton
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-01227 | 05/22/2015 | Claimant(s): Michael S. Shaw IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Herbert Branitsky, David I. Stern, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00162 | 05/22/2015 | Claimant(s): Ahmed Hussein
Claimant Lawyers(s): Stephen E. Morrissey
Respondent(s): UBS Financial Services Inc., UBS International Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Bertrand M. Lanchner, Joseph I. Liebman, Phillip Weitzman
Hearing Site: New York, NY
| | $2,000,000 |
| 13-02580 | 05/22/2015 | Claimant(s): Linda Pennfield
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Michael J. Maran, Linda J. Baer, Roger B. Jacobs
Hearing Site: New York, NY
| | $0 |
| 14-00170 | 05/19/2015 | Claimant(s): Juan Rosado
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Bradley B. Rounsaville, Roberto Quinones
Arbitrator(s): Ron Pekoe, Robert H. Putnam, Herbert Branitsky
Hearing Site: San Juan, PR
| | $1,000,000 |
