| 22-00341 | 05/11/2023 | Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Andrew P. Shelby
Respondent(s): Daniel Heidkamp, Mark Ritchie, Patrick Tierney, Colliers Securities LLC
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): Theodore W. Wrobleski, Lawrence W. Arness, Kristi Lynn Nelson
Hearing Site: Chicago, IL
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| 16-02036 | 11/29/2017 | Claimant(s): Michael Ratner, UBS Credit Corp.
Claimant Lawyers(s): Arthur C. Koski, Michael D. Lee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): James W. Geiger, Leonard Michael Cusano, Andrew F. Greitz
Hearing Site: Boca Raton, FL
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| 15-03339 | 05/31/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Nancy Kimball Mellon
Respondent Lawyers(s): Nancy Kimball Mellon
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 15-02292 | 01/07/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Edward Painter
Respondent Lawyers(s): Edward Painter
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
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| 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
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| 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
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| 14-02216 | 01/12/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): John Clancy
Respondent Lawyers(s): John Francis Clancy
Arbitrator(s): Randall S. Strause
Hearing Site: Louisville, KY
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| 14-00216 | 08/07/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): John P. Cullem, John R Kiefner, Oliver J. Janney
Hearing Site: Tampa, FL
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| 13-00456 | 05/15/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Steven Meyer
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
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| 12-02173 | 01/03/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Douglas Campbell
Respondent Lawyers(s): Douglas Walter Campbell
Arbitrator(s): John P. Cullem, Linda Fairchild, Margaret R. Hoyt
Hearing Site: Orlando, FL
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