| 09-04546 | 06/22/2012 | Claimant(s): Soheil Davood
Claimant Lawyers(s): Soheil Davood
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Blaine Smith, Elizabeth A. Copley, Ronald E. Malmfeldt
Hearing Site: Los Angeles, CA
|  | $0 |
| 10-01624 | 08/31/2011 | Claimant(s): Bryce Jones, Sevi Jones, Jones Family Trust
Claimant Lawyers(s): S. Brett Sutton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Nicholas J. Caputo, Linda M. McCoy, Christopher J. Hadsell
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01449 | 07/20/2011 | Claimant(s): Lang Velka, Philip Velka
Claimant Lawyers(s): Lang Velka, Philip Velka
Respondent(s): Christopher Beckett, James Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Audrey H. Ruben
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-05645 | 07/13/2011 | Claimant(s): Bobby Panahi
Claimant Lawyers(s): Peter M. Kunstler
Respondent(s): UBS Financial Services Inc., Trevis Rucci
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas E. Shuck, Robert W. Vernon, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01085 | 04/26/2011 | Claimant(s): John Mason
Claimant Lawyers(s): John A. Mason
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $13,000 |
| 09-05989 | 02/22/2011 | Claimant(s): Angele Bahuth, Joseph Bahuth
Claimant Lawyers(s): Philip W. Bartenetti
Respondent(s): Andrew Coulter, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert B. Moran, Bruce A. Davidson, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03836 | 12/02/2010 | Claimant(s): Dennis E. Flynn IRA
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Bryan Dunn, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Richard D. Fincher, W. Michael Kelley, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | $71,532 |
| 09-01782 | 11/16/2010 | Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
| 09-04990 | 08/27/2010 | Claimant(s): John Ramey, Madrugada LP # 2, Ramey Company Profit Sharing DTD 1/4/01
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): J Duckworth, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert A. Yates, Ronald O. Bub, James J. Dobbin
Hearing Site: San Diego, CA
| | Expungement |
| 09-02893 | 08/18/2010 | Claimant(s): Steven Steinberg
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
