| 13-03048 | 05/13/2015 | Claimant(s): Yolanda Bauza
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn
Hearing Site: Washington, DC
|  | $200,000 |
| 14-03524 | 05/11/2015 | Claimant(s): John Orcutt, UBS Financial Services Inc.
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Earl Flowers
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Elizabeth A. Copley, Steven A. Wawra, James M. Goldberg
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01806 | 05/11/2015 | Claimant(s): J. Kenneth Harbour, Nancy Harbour, J.K. Harbour TTE of the Reduction Family
Claimant Lawyers(s): D. Daxton White
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Richard W. Cutler, William J. Greene, Ira M. Ross
Hearing Site: New York, NY
| | Expungement |
| 14-00419 | 05/06/2015 | Claimant(s): Jose Segarra, Mabel Garcia De Segarra
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Carlos Ubinas, UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Edwin A. Zipf, Roberto Quinones, Salvador J. Antonetti
Arbitrator(s): Monica I. Salis, Mimi B. Osiason, Stuart K. Furman
Hearing Site: San Juan, PR
| | Expungement |
| 14-02040 | 05/04/2015 | Claimant(s): Christine Johnson, Donna Johnson, Susan Bennett
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Gordon M. Wase, Michael P. Marryshow, Donald S. Bauman
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-03688 | 05/01/2015 | Claimant(s): Kuku Walia
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard W. Cutler, Frances Gottfried, Sonja Tennille Orgias
Hearing Site: New York, NY
| | Expungement |
| 14-01810 | 04/29/2015 | Claimant(s): James Carpenter
Claimant Lawyers(s): Jorge Altamirano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Mimi B. Osiason, Elizabeth A. Townes, Walter William Blenner
Hearing Site: Tampa, FL
| | Expungement |
| 14-00222 | 04/28/2015 | Claimant(s): Levi Nagel
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lisa Bertain
Arbitrator(s): Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 13-01572 | 04/23/2015 | Claimant(s): F. Gardner, Jeffrey Lane, Shapiro Family Trust, Sunita Kumar Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Vincent J. Natoli, Robert E. Jenks, Joseph L. Hagan
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02493 | 04/20/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ian L. Reynolds
Respondent(s): Robert Burke
Respondent Lawyers(s): Robert Joseph Burke
Arbitrator(s): Janet Stern Solomon
Hearing Site: Washington, DC
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