| 12-01161 | 11/06/2014 | Claimant(s): Adam Behlman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin LeBlang
Arbitrator(s): Charles P. Axelrod, Joseph W. Lodato, Linda J. Baer
Hearing Site: New York, NY
| | |
| 13-01652 | 06/24/2014 | Claimant(s): Sergio Zanini
Claimant Lawyers(s): Sherry M. Shore
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Bernard M. Levine, Stephen J. Patti, Michael Jaffe
Hearing Site: New York, NY
| | |
| 13-00141 | 03/06/2014 | Claimant(s): Jeffrey Sparks
Claimant Lawyers(s): David Marek
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Linda Yarden, Martin H. Zern, Barbara Sullivan-Parry
Hearing Site: New York, NY
| | |
| 11-04112 | 07/30/2013 | Claimant(s): Orin Wexler
Claimant Lawyers(s): David Hirschberg
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Anthony Marchese, Harold I. Geringer, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | |
| 11-03855 | 06/27/2013 | Claimant(s): Darius Saib
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): LIoyd B. Chinn
Arbitrator(s): Howard J. Stiefel, Carole L. Green, Bernard J. McGuire
Hearing Site: New York, NY
| | |
| 11-04305 | 04/26/2013 | Claimant(s): Ninos Andrews
Claimant Lawyers(s): Jonathan M Cyrluk
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Rachel B. Cowen
Arbitrator(s): Jerome F. Crotty, Jonathan Gorman Cook, Michael S. Jordan
Hearing Site: Chicago, IL
| | |
| 11-04279 | 03/05/2013 | Claimant(s): Bank of Nevada
Claimant Lawyers(s): Garrett W. Wotkyns
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales, Justin DeCamp
Arbitrator(s): James H. McAvoy, Steven A. Budin, Ernest F. Modzelewski
Hearing Site: Las Vegas, NV
|  | Expungement |
| 11-02705 | 03/01/2013 | Claimant(s): Gregory Morris
Claimant Lawyers(s): Robert Kraus
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Martin Jay Siegel, Nancy S. Gerber, Barry Steven Port
Hearing Site: New York, NY
| | |
| 10-05540 | 03/23/2012 | Claimant(s): Source Capital Group.
Claimant Lawyers(s): Mitchell H Cobert
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Robert Manfredo, Nancy Plesser Wendell, C. Kenneth Yoblon
Hearing Site: New York, NY
| | |
| 11-00724 | 03/08/2012 | Claimant(s): Alfred Hoffman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison
Hearing Site: Tampa, FL
| | $0 |
