| 22-02907 | 11/30/2023 | Claimant(s): Shailesh Negandhi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): Ross B. Russell
Hearing Site: Dallas, TX
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| 22-02184 | 07/28/2023 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John B. Clark
Respondent(s): Daniel Snodgrass
Respondent Lawyers(s): Daniel Stephen Snodgrass
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 21-01874 | 03/16/2022 | Claimant(s): Javier Garcia
Claimant Lawyers(s): Javier Garcia
Respondent(s): UBS International Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): William Kent Brown, Virginia Lee Perez-Berry, Scott Joseph Pagano
Hearing Site: Boca Raton, FL
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| 21-00980 | 07/30/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): Steven Mitchell
Respondent Lawyers(s): Steven Jay Mitchell
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
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| 20-02104 | 05/14/2021 | Claimant(s): James Shoffner
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): Milton N. Gross
Hearing Site: Denver, CO
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| 20-00349 | 07/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): James Shafferman
Respondent Lawyers(s): James Frederick Shafferman
Arbitrator(s): Jeffrey Ackermann
Hearing Site: New Orleans, LA
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| 19-02150 | 04/09/2020 | Claimant(s): Amy Loughran
Claimant Lawyers(s): Walter J. Korzeniowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
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| 19-02873 | 02/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): David Moxom
Respondent Lawyers(s): David Alan Moxom
Arbitrator(s): Mark A. Frankel
Hearing Site: Milwaukee, WI
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