14-00740 | 06/13/2016 | Claimant(s): Gianluca Passaretta Claimant Lawyers(s): Blaine H. Bortnick Respondent(s): UBS Securities LLC Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Ilene Barbara Zatkin-Butler, Denise L. Quarles, John Caracciolo Hearing Site: New York, NY
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14-03694 | 06/06/2016 | Claimant(s): Candice Willoughby Claimant Lawyers(s): Alan L. Sklover Respondent(s): UBS Securities LLC Respondent Lawyers(s): Lloyd Chinn Arbitrator(s): Michael E. Olney, Richard W. Cutler, Amy Kaplan Eckman Hearing Site: New York, NY
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13-03223 | 02/05/2016 | Claimant(s): Nwakerendu Uche Claimant Lawyers(s): Jonathan Sack Respondent(s): UBS Securities LLC Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): George Sommerfeld, Lynne M. Reid-McQueen, Edward W. Morris Hearing Site: New York, NY
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14-00136 | 12/30/2015 | Claimant(s): Jeffrey Cahoon Claimant Lawyers(s): Marc A. Susswein Respondent(s): UBS Securities LLC Respondent Lawyers(s): Izabel P. McDonald Arbitrator(s): William G. Binckes, Richard A. Cini, Kumar Atmakuri Ram Hearing Site: New York, NY
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13-03517 | 11/19/2015 | Claimant(s): Adam Frisch Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): UBS Securities LLC Respondent Lawyers(s): Kevin B. Leblang Arbitrator(s): Clarence Smith, Alexandra L. Dunaif, James I. Berliner Hearing Site: New York, NY
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14-02119 | 09/04/2015 | Claimant(s): Paul Schimmeck Claimant Lawyers(s): Jonathan Sack Respondent(s): UBS Securities LLC Respondent Lawyers(s): J. Michael Riordan Arbitrator(s): John B. Morgan, Howard J. Stiefel, Martin A. Edelstein Hearing Site: New York, NY
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14-00213 | 04/16/2015 | Claimant(s): Philip Lefkowitz Claimant Lawyers(s): David Hirschberg Respondent(s): UBS Securities LLC Respondent Lawyers(s): Kevin Leblang Arbitrator(s): Linda J. Baer, John B. Sprung, Peter Susser Hearing Site: New York, NY
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13-00609 | 02/03/2015 | Claimant(s): Rafael Diamond Claimant Lawyers(s): Brian Kennedy Respondent(s): UBS Securities LLC, UBS Financial Services Inc. Respondent Lawyers(s): Margaret L. Watson Arbitrator(s): Richard W. Cutler, Lisa Lograno, Sandra Holtzman Hearing Site: New York, NY
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12-01162 | 01/06/2015 | Claimant(s): James Kibbe Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): UBS Securities LLC Respondent Lawyers(s): Francis X. Dee Arbitrator(s): Richard W. Vallario, Jeffrey F. Friedman, Carole L. Green Hearing Site: New York, NY
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14-00556 | 11/18/2014 | Claimant(s): Mississippi Baptist Health Systems. Claimant Lawyers(s): Frank Iacono Respondent(s): UBS Securities LLC Respondent Lawyers(s): Jonathan K. Youngwood Arbitrator(s): James Kee Irvin, Onnig Hatchig Dombalagian, Brian P. Jakes Hearing Site: Jackson, MS
| | Dismissed by Rule 12206 |