| 19-00490 | 04/20/2020 | Claimant(s): Rachel Niemuth
Claimant Lawyers(s): Laura Hallmon
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Dineo Coleman Gary, Dianne Connally Betts, Kenneth Haben
Hearing Site: Dallas, TX
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| 19-02551 | 04/08/2020 | Claimant(s): Kirk Gravelle
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Seth L. Finkel, Gregory S. Tendrich, Rosemarie Ann Jannuzzi
Hearing Site: Boca Raton, FL
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| 19-02547 | 03/02/2020 | Claimant(s): Steven Bonetto
Claimant Lawyers(s): John Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
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| 19-00901 | 11/27/2019 | Claimant(s): Matthew Leone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 19-00390 | 08/29/2019 | Claimant(s): Ron Zimmermann
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
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| 17-03307 | 02/26/2019 | Claimant(s): Glenn Capel
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Langfred W. White, Karen A. West, David Josephsohn
Hearing Site: Raleigh, NC
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| 18-01876 | 12/19/2018 | Claimant(s): Isaac Brown
Claimant Lawyers(s): Christopher E Thorsen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
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| 18-00178 | 12/07/2018 | Claimant(s): Mary Mullin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 17-01135 | 05/22/2018 | Claimant(s): Jeffrey Leventhal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Edward M. Statland
Hearing Site: Washington, DC
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| 16-01865 | 04/26/2018 | Claimant(s): Wilson Colberg Trigo
Claimant Lawyers(s): Enrique J. Mendoza-Mendez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis, Kathryn D. Perreault
Arbitrator(s): Caryl S. Bernstein, Earle J. Schwarz, Orville Theodore McCormac
Hearing Site: San Juan, PR
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