| 12-01538 | 01/17/2014 | Claimant(s): Elliott Rosenzweig
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Steven Gerard Goerke, Richard W. Epstein, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 12-01525 | 06/14/2013 | Claimant(s): Daniel Bollinger
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Kelly Tinsley, UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, Karen A. West
Hearing Site: Raleigh, NC
| | Expungement |
| 11-02312 | 11/15/2011 | Claimant(s): James Thomas
Claimant Lawyers(s): James J. Thomas
Respondent(s): John Swegles, Philip Sloan
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $2,325 |
| 11-00386 | 07/06/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): James Porrazzo
Respondent Lawyers(s): James M. Porrazzo
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 10-02399 | 12/03/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): Richard Griffler
Respondent Lawyers(s): Richard Elliot Griffler
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | |
| 08-04592 | 05/19/2010 | Claimant(s): Thomas DiBenedetto
Claimant Lawyers(s): Richard A. Roth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Don Muyskens, Ellen I. Siegman, John William Bowman
Hearing Site: Tampa, FL
| | $425,000 |
