| 11-00843 | 07/24/2012 | Claimant(s): Scott Strumlauf
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Helen E. Huyler, Robert Allen Fine, Brandt Leonard Ross
Hearing Site: Atlanta, GA
|  | Expungement |
| 08-04357 | 11/03/2010 | Claimant(s): Steven Edelson and Ellen Edelson
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Kenneth Diamond, Cecilia B. Loving, Thomas D. Giordano
Hearing Site: New York, NY
| | $529,688 |
| 09-03856 | 10/22/2010 | Claimant(s): Leo Greenland
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Martin Hunger, Howard L. Sobel, Benjamin L. Anderson
Hearing Site: New York, NY
| | $0 |
| 08-04212 | 04/09/2010 | Claimant(s): Janet Marcus, Marcus Kappel & Co. 401K, David Marcus Profit Sharing Plan
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Fred S. Pieroni, Alvin Green, Denise L. Quarles
Hearing Site: New York, NY
| | $490,610 |
| 09-02956 | 12/29/2009 | Claimant(s): Jose Fabian Severi & Ana Maria Silva JTW
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | $16,213 |
| 08-04021 | 10/29/2009 | Claimant(s): Carol A. Villamana Trustee of, Louis C. Villamana Trustee of
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Crowley
Arbitrator(s): Roger L. Crossland, Marvin H. Ginsky, Henry Theodore Vogt
Hearing Site: Hartford, CT
| | $75,616 |
| 07-01431 | 02/22/2008 | Claimant(s): Jean Locascio and Sandy White
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Raymond Burghard, Trident Partners, Ltd.
Respondent Lawyers(s): John E. Lawlor, Raymond Burghard
Arbitrator(s): Michael J. McAllister, Charles S. Guggenheimer, Howard L. Greenberger
Hearing Site: New York, NY
| | $120,000 |
| 06-02162 | 01/15/2008 | Claimant(s): Donald P. McAdams Rev/Int Trust, Donna McAdams Rev/Int Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): David E. Scott, Jeffrey Caleb Etter, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $31,149 |
| 06-03795 | 08/31/2007 | Claimant(s): David Luther
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Marion R. Allen, G. Brooks Euler, Neil Harvey Smith
Hearing Site: Nashville, TN
| | $0 |
