| 20-03005 | 10/13/2021 | Claimant(s): Andrew Burish
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
| 20-00438 | 11/10/2020 | Claimant(s): Walter Stucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 18-02774 | 04/22/2019 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Salt Lake City, UT
| | |
| 18-02686 | 03/21/2019 | Claimant(s): Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | |
| 17-01319 | 01/04/2019 | Claimant(s): Altenhofen Revocable Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Barbara M. Zak, Jeffrey E. Skogsbergh, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
|  | Expungement |
| 18-00092 | 12/24/2018 | Claimant(s): Ariel Bobroff, Gary Davis, William Tarrab
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | |
| 18-00225 | 09/14/2018 | Claimant(s): Ariel Bobroff, Gary Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 16-02858 | 02/21/2017 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 15-03363 | 10/07/2016 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 14-03524 | 05/11/2015 | Claimant(s): John Orcutt, UBS Financial Services Inc.
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Earl Flowers
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Elizabeth A. Copley, Steven A. Wawra, James M. Goldberg
Hearing Site: Los Angeles, CA
| | Expungement |
