| 09-01431 | 07/23/2010 | Claimant(s): Gerald Edward McCoy
Claimant Lawyers(s): Jordan P. Kendell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Langdon T. Owen, Jonathan H. Larson, A. O. Headman
Hearing Site: Salt Lake City, UT
|  | $96,524 |
| 09-01739 | 03/17/2010 | Claimant(s): Stephen Farley
Claimant Lawyers(s): Stephen A. Farley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $150 |
| 09-04737 | 02/11/2010 | Claimant(s): Joy Deschaine, IRA
Claimant Lawyers(s): Joy Deschaine
Respondent(s): UBS Financial Services Inc., Richard Bernstein
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03552 | 12/23/2009 | Claimant(s): G. Menyharth
Claimant Lawyers(s): G. Paul Menyharth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | $0 |
| 09-01310 | 10/27/2009 | Claimant(s): Carol deMontel
Claimant Lawyers(s): Carol deMontel
Respondent(s): Jennifer Goodman, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): R. Peter Faris
Hearing Site: Albuquerque, NM
| | $0 |
| 08-02628 | 04/09/2009 | Claimant(s): Harley Bjelland, Harley L. Bjelland, A Prof. Corp.
Claimant Lawyers(s): Harley L. Bjelland
Respondent(s): Kelly Dougherty, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03537 | 03/25/2009 | Claimant(s): Elliot Burstein
Claimant Lawyers(s): Elliot L. Burstein
Respondent(s): UBS Financial Services Inc., Sharon Ford
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | $1,585 |
| 08-00685 | 12/18/2008 | Claimant(s): Dennis Rosenstock
Claimant Lawyers(s): James D. Portman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert J. Ruben, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 06-00618 | 12/17/2007 | Claimant(s): Steven Thompson
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis
Hearing Site: San Francisco, CA
| | $0 |
