| 10-04837 | 02/22/2013 | Claimant(s): Karen Wykrent, Michael Wykrent
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): William E. Hartsfield, Karen J. Zvonecek, Edward J. Lynch
Hearing Site: Dallas, TX
|  | Expungement |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
| 10-05715 | 07/09/2012 | Claimant(s): Janet Schmidt, MJN Construction, The Schmidt Family Trust
Claimant Lawyers(s): Eileen M. Donoghue
Respondent(s): UBS Financial Services Inc., Laurence Knowlton, Robert Cataldo
Respondent Lawyers(s): Jeffrey L. Friedman, Robert Anthony Cataldo
Arbitrator(s): Richard J. Grahn, William R Harding, Steven S. Manos
Hearing Site: Boston, MA
| | $809,500 |
| 11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | $0 |
| 09-06817 | 03/06/2012 | Claimant(s): Carole Helman
Claimant Lawyers(s): Mindy Helman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Stan West, Paul W. Sterman, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | $0 |
| 09-03065 | 01/26/2012 | Claimant(s): Joseph Yurman, Murphy Family Trust
Claimant Lawyers(s): Lawrence A. Steckman
Respondent(s): Citigroup Global Markets., Reaz Islam, Citigroup Alternative Investments LLC, Citigroup Fixed Income Alternatives, Citigroup., Mat Five LLC Fund, Municipal Opportunity Fund Five LLC
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Craig Scott Bartlett, Sheldon M. Finkelstein, Kinchen C. Bizzell
Hearing Site: New York, NY
| | $950,000 |
| 10-01972 | 05/31/2011 | Claimant(s): Deborah Traficante
Claimant Lawyers(s): Walter Birkel
Respondent(s): James Lacey, UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Douglas Earl McLaren, Gerald B. Marcovsky, Darryl Michael Lee
Hearing Site: Washington, DC
| | Expungement |
| 08-02649 | 08/25/2010 | Claimant(s): Rosenow I Limited Partnership
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Elizabeth Gilbert, Michael Jaffe, Linda B. Meltzer
Hearing Site: New York, NY
| | $0 |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
