18-01545 | 05/13/2019 | Claimant(s): John Carolyn Claimant Lawyers(s): Alise Johnson Henry Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Maria Paz Chacon Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX
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18-01718 | 11/12/2018 | Claimant(s): Federico Sanchez Claimant Lawyers(s): Alise Johnson Henry Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Barry David Thorpe Hearing Site: Miami, FL
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18-01543 | 09/24/2018 | Claimant(s): John Carolyn Claimant Lawyers(s): Alise Johnson Henry Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX
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12-02904 | 06/16/2014 | Claimant(s): Barbara Minahan, JLM Partnership Claimant Lawyers(s): Augustine Rivera Respondent(s): Charles Wilde, UBS Financial Services Inc. Respondent Lawyers(s): Alise Johnson Henry Arbitrator(s): Thomas D. Nagle, Malcolm Edwin Whittaker, Cory Steven Fein Hearing Site: Houston, TX
| | Expungement |
12-01872 | 07/05/2013 | Claimant(s): Michael Usina Claimant Lawyers(s): William B. Young Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Alise Johnson Henry Arbitrator(s): Stuart K. Furman Hearing Site: Jacksonville, FL
| | Expungement |
13-00038 | 07/05/2013 | Claimant(s): Fred Wang Claimant Lawyers(s): Fred Simcha Wang Respondent(s): UBS Fund Services (USA) LLC Respondent Lawyers(s): Alise Johnson Henry Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Christopher J. Klein Hearing Site: San Juan, PR
| | Dismissed by Rule 12504 |
12-00575 | 12/19/2012 | Claimant(s): Lois Martello, The Estate of Frank T. Martello, Frank T. Martello Fam. Trust f/b/o Keith, Frank T. Martello Fam. Trust f/b/o Linda, Frank T. Martello Fam. Trust f/b/o Tim, The Frank T. Martello Revocable Trust Claimant Lawyers(s): Steven J. Gard Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Alise Johnson Henry Arbitrator(s): J. Porter McClean, Pamela Jeanne Rush, Gail E. Sasnett-Stauffer Hearing Site: Jacksonville, FL
| | Expungement |
10-04642 | 07/07/2011 | Claimant(s): Frank Taylor Claimant Lawyers(s): F Chet Taylor Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Alise Johnson Henry Arbitrator(s): Mark A. Myers, Eric Spencer Buchanan, Patricia Best Vital Hearing Site: Memphis, TN
| | $357,103 |
09-02882 | 04/08/2011 | Claimant(s): Angela Schwausch Claimant Lawyers(s): Richard H. Elliott Respondent(s): UBS Financial Services Inc., Kenneth Logsdon, Michael Trahan Respondent Lawyers(s): Alise Johnson Henry Arbitrator(s): Kurt L. Smith, Frances Johnson Wright, James Douglas Haigh Hearing Site: Dallas, TX
| | $25,000 |