| 14-00458 | 10/01/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Whitney Floren
Respondent Lawyers(s): Elliot M. Sherman
Arbitrator(s): Arthur J. Giacomarra, Nadine Nasser Donovan, Michael Christopher Hildreth
Hearing Site: Boston, MA
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| 11-00824 | 02/13/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Winston De Feria
Respondent Lawyers(s): Winston H. De Feria
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 10-04740 | 02/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Michael Espinoza
Respondent Lawyers(s): Kevin P. Cummings
Arbitrator(s): Mary Beth Wheeler, Benjamin A. Kerner, Sharon L. Paul
Hearing Site: Detroit, MI
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| 09-06066 | 10/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Christopher St. Laurent
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Mark A. Myers, Jeff Kilgore, Carlton A. Butler
Hearing Site: Houston, TX
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| 10-03177 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): David Baum
Respondent Lawyers(s): John H. Peavy
Arbitrator(s): Frank W. Virgin, Cheryl A. Hooks, John F. O'Neill
Hearing Site: Atlanta, GA
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| 10-02070 | 03/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Edna Jackson
Respondent Lawyers(s): Daniel D. Hill
Arbitrator(s): Leon Fox
Hearing Site: Minneapolis, MN
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| 10-05239 | 03/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Charles Norvell
Respondent Lawyers(s): Charles R. Norvell
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 08-03813 | 04/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Brian Prost
Respondent Lawyers(s): Brian E. Prost
Arbitrator(s): Bernard S. Carrey, Oscar W. Carlson, Duncan H. Cameron
Hearing Site: Tampa, FL
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