| 12-04128 | 03/21/2014 | Claimant(s): John Caudill, Molly Caudill
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Amelia F. Adams, Jeffrey M. Bain, Harold G. Wren
Hearing Site: Louisville, KY
|  | $202,375 |
| 12-01626 | 02/12/2014 | Claimant(s): Frances Moening, Ronald Moening
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): James H. Colburn, Kathy A. Tatone, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-00217 | 08/09/2013 | Claimant(s): Samuel Elam, The Samuel F. Elam Rev. Living Trust
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Emily J. Lewis, Louis V. Imundo, Dale A. Crawford
Hearing Site: Columbus, OH
| | Expungement |
| 11-02059 | 05/21/2013 | Claimant(s): Peter R. Hanson and Martha H. Hanson
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Barry Goldman, John F. Burns, Thomas Anthony Van Tiem
Hearing Site: Detroit, MI
| | Expungement |
| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $0 |
| 08-02809 | 10/20/2009 | Claimant(s): Isidore Mayrock, General Partner of REI
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Citigroup Global Markets., Citicorp Investment Services
Respondent Lawyers(s): David J. Butler
Arbitrator(s): J. Martin McDonough, Frank Irizarry, Bernard A. Friedman
Hearing Site: New York, NY
| | $754,000 |
| 08-03853 | 07/31/2009 | Claimant(s): Bernard Cohen
Claimant Lawyers(s): David J. Butler
Respondent(s): Estate of Joseph Moreno
Respondent Lawyers(s): Jay Moreno
Arbitrator(s): Linda T. Pellegrino, Nicholas J. Chopey, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 06-02002 | 08/12/2008 | Claimant(s): Juluru Rao
Claimant Lawyers(s): Kim Steven Juhase
Respondent(s): Mark Ketner, Investec Ernest & Company
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Sandralin J. Kiss, Renee S. Rothschild, Sharon A. McCloskey
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 06-04146 | 02/19/2008 | Claimant(s): Victor Silano
Claimant Lawyers(s): Laurent S. Drogin
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Thomas E. Duggan, David R. Bolnick, Michael L. Moran
Hearing Site: New York, NY
| | |
| 06-02395 | 08/24/2007 | Claimant(s): James Rusciano
Claimant Lawyers(s): Larry Kars
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Michael Busco
Respondent Lawyers(s): Dan A. Rosenbaum, David J. Butler
Arbitrator(s): Cynthia A. DiMarco, Andrew H. Freund, Robert T. Costello
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
