| 18-00159 | 06/28/2018 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Linetee Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 17-01896 | 05/14/2018 | Claimant(s): Estate of Wallace Hubbert
Claimant Lawyers(s): Jeffrey S. Cianciulli
Respondent(s): UBS Financial Services Inc., Mark Namvary, Peter Bradford, Peter Foote
Respondent Lawyers(s): Brian J. Ellis, Peter John Bradford
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
|  | Expungement |
| 17-01309 | 02/09/2018 | Claimant(s): Christopher Metcalf
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Paul Smith Besson
Hearing Site: Hartford, CT
| | |
| 14-00199 | 01/06/2016 | Claimant(s): Kenneth Lee
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets., Hsyu-Chieng Chiou
Respondent Lawyers(s): Brian J. Ellis, Steven D. Toskes
Arbitrator(s): Perry Lee Taylor, Barbara Black, Helen E. Huyler
Hearing Site: Atlanta, GA
| | $2,250,000 |
| 15-00221 | 09/16/2015 | Claimant(s): Brett Hina
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Lisa Catalano
Hearing Site: New York, NY
| | |
| 13-01771 | 10/29/2014 | Claimant(s): Robert Brendell
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Seyle
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jim Geiger, John Michael Derderian, L. Martin Miller
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00805 | 10/03/2014 | Claimant(s): Julia Furia
Claimant Lawyers(s): Joseph B. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | Expungement |
| 13-02938 | 08/25/2014 | Claimant(s): Brett Hina, David Marshall, Matthew Boynton, Robert Hutchinson
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): UBS Financial Services.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 13-01004 | 07/11/2014 | Claimant(s): Elias Abboud
Claimant Lawyers(s): Brett A. Datto
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jill Leeds-Rivera, Catherine Stewart, Robert Alan Mayer
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-03256 | 05/28/2013 | Claimant(s): Mario R. Gebbia as Trustee of the Mario
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Elliot B. Platt, Kathleen L. Daerr-Bannon, Mary L. Sims
Hearing Site: Philadelphia, PA
| | Expungement |
