| 20-02609 | 11/16/2020 | Claimant(s): James Smith
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | |
| 13-01579 | 12/04/2014 | Claimant(s): James Young
Claimant Lawyers(s): Brian J. Neville
Respondent(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marian Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Respondent Lawyers(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marion Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Stephen A. Kohn
Hearing Site: Denver, CO
| | Expungement |
| 11-03379 | 03/18/2013 | Claimant(s): J.J.B. Hilliard, W.L. Lyons
Claimant Lawyers(s): Reva D. Campbell
Respondent(s): Jay Otto, Jeffrey Lutz, Morgan Stanley, Tammy Kinstle
Respondent Lawyers(s): Joseph B. Alonso, Salvador M. Hernandez
Arbitrator(s): John B. Glueckert, Gregory P. Szuter, James Stephen Smith
Hearing Site: Cincinnati, OH
| | |
| 10-05705 | 01/13/2012 | Claimant(s): Paul Covill
Claimant Lawyers(s): Paul W. Covill
Respondent(s): James Smith
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
|  | Expungement |
