| 09-06722 | 08/02/2011 | Claimant(s): Lon Isaacson, Michael Trerotola, Stephen Trerotola, Lon B. Isaacson Associates
Claimant Lawyers(s): Lon B. Isaacson
Respondent(s): UBS Securities LLC, James Shelburne, Joseph Sulentor, UBS Financial Services Inc., Michael Ladge, Richard Frankel, Shawn Patt, UBS AG
Respondent Lawyers(s): Jeffrey W. Kramer, Kendra Canape
Arbitrator(s): Michael D. Harrison, Robert Elman, W. Alex King
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-06258 | 06/22/2011 | Claimant(s): Michael Bird
Claimant Lawyers(s): Charles A. Stewart
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lauren Malanga Casey
Arbitrator(s): Susan C. Lushing, Michael J. Contrastano, Lester Scott Garfinkel
Hearing Site: New York, NY
| | |
| 09-04307 | 03/17/2011 | Claimant(s): Michael Brennan
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Philip M. Mandel, David S. Billet, Irene C. Warshauer
Hearing Site: New York, NY
| | |
| 09-01067 | 01/06/2011 | Claimant(s): David Sacco
Claimant Lawyers(s): Jeffery L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Brian J. Burstin, Kevin B. Naughten, Robert Bartels
Hearing Site: New York, NY
| | |
| 08-04888 | 10/20/2010 | Claimant(s): Stephen Finkelstein
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC, UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Earl S. Schwarz, Howard D. Jacob, Peter A. Kiefer
Hearing Site: New York, NY
| | |
| 08-04774 | 04/01/2010 | Claimant(s): Joseph Vanek
Claimant Lawyers(s): Alberto Rodriguez
Respondent(s): UBS Securities LLC, Douglas Eaton, UBS Financial Services Inc., UBS AG
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John F Fennig, Robert S. Sugarman, Michael Howard Rosenbloom
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 08-04786 | 02/16/2010 | Claimant(s): Christopher Cohn, Laurens Rhinelander, Simon Lewis
Claimant Lawyers(s): Erwin Shustak
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew J. Ceresney
Arbitrator(s): Anatoly "Tony" Zuban, Deanna Margaret Veitia, Michael D. Briggs
Hearing Site: San Diego, CA
| | |
| 09-02568 | 02/09/2010 | Claimant(s): Jatin Suryawanshi, Partha Sarkar, Sanjay Girdhar
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): UBS Securities LLC, UBS AG
Respondent Lawyers(s): Claire L. Huene
Arbitrator(s): Vicki Z. Holleman, Dorothy E. Morris, Gerald Guttman
Hearing Site: New York, NY
| | |
| 08-01361 | 02/03/2010 | Claimant(s): Michael Bond and Margaret Bond
Claimant Lawyers(s): Garry R. Appel
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $244,300 |
| 07-03484 | 04/27/2009 | Claimant(s): Bear, Stearns & Co. LLC
Claimant Lawyers(s): Gene L. Small
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Alain Leibman
Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser
Hearing Site: New York, NY
| | |
