| 17-00195 | 10/17/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corporation
Claimant Lawyers(s): James L. Komie
Respondent(s): David Fagenson
Respondent Lawyers(s): David Howard Fagenson
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 15-02579 | 12/06/2016 | Claimant(s): Michael Zirpolo, Thomas Fayad
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): UBS Financial Services Inc., UBS Credit Corp.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Martin A. Edelstein, Raymond A. Urci, Steven C. Kasarda
Hearing Site: New York, NY
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| 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
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| 14-01487 | 10/08/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 13-00989 | 08/22/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Patrick Colligan
Respondent Lawyers(s): Patrick Colligan
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
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| 11-01520 | 06/15/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Gustavo Del Valle
Respondent Lawyers(s): Harold D. Vicente-Colon
Arbitrator(s): Reinaldo Royo, Kathryn M. Welsh, Jeffrey R. Roth
Hearing Site: San Juan, PR
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| 11-01502 | 05/04/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Irving M. Shlesinger, Karla Y. Vogel, David Blair Sinyard
Hearing Site: Atlanta, GA
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| 11-02095 | 01/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Harold Sheehan
Respondent Lawyers(s): Harold A. Sheehan
Arbitrator(s): Beth Rackley Hesselson
Hearing Site: Cleveland, OH
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| 09-01976 | 12/03/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Anthony Marchese, Carolyn A. Mann, Lynne M. Reid-McQueen
Hearing Site: New York, NY
|  | $2,428,030 |
| 09-01374 | 11/29/2010 | Claimant(s): Zachary Sech
Claimant Lawyers(s): George M. Reul
Respondent(s): David Singer, Joseph Evelo, UBS Financial Services Inc., Linnell Sullivan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi, James L. Komie, Russell S. Sayre
Arbitrator(s): Emily J. Lewis, Regina F. Burch, A. Brian McIntosh
Hearing Site: Cincinnati, OH
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