| 14-03253 | 05/09/2017 | Claimant(s): Fredric Rothermich
Claimant Lawyers(s): Christopher J. Hogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Harlita R. Tomlinson, Erick R. Zanner, Sandra M. Furman
Hearing Site: Columbus, OH
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| 15-02950 | 10/07/2016 | Claimant(s): Timothy Lovick
Claimant Lawyers(s): Timothy John Lovick
Respondent(s): TIAA-CREF Individual & Institutional Svs
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Robert R. Nursey, Donna Ross Philip, Mary Lee Scott
Hearing Site: Dallas, TX
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| 13-00385 | 02/24/2016 | Claimant(s): Kevin Taalman
Claimant Lawyers(s): Lou Karnezis
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
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| 14-02560 | 02/08/2016 | Claimant(s): Herbert Jablin
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Lawrence M. Green, James W. Geiger, Carl Henry Perdue
Hearing Site: Boca Raton, FL
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| 14-02119 | 09/04/2015 | Claimant(s): Paul Schimmeck
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John B. Morgan, Howard J. Stiefel, Martin A. Edelstein
Hearing Site: New York, NY
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| 14-01020 | 04/10/2015 | Claimant(s): Susan Landolt
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): UBS Financial Services Inc., Ronald Ferrelli
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin H. Zern, Samuel Joseph Gottlieb, Kevin P. Feerick
Hearing Site: New York, NY
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| 12-00376 | 03/09/2015 | Claimant(s): John Straus
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Joseph F. Kelley, Farrell C. Glasser, Martin A. Edelstein
Hearing Site: New York, NY
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| 13-02974 | 12/30/2014 | Claimant(s): Ashraf Elghandour
Claimant Lawyers(s): Brian D. Spector
Respondent(s): James Turner, UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Charles L. Prothero, Chris P. Drucker, Robert E. Anderson
Hearing Site: Newark, NJ
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| 12-03380 | 11/25/2014 | Claimant(s): Brendan Lavelle
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Harry G. Mason, Anthony J. Carpinello, Alfred G. Feliu
Hearing Site: New York, NY
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| 11-00886 | 08/07/2013 | Claimant(s): Bryan Schon
Claimant Lawyers(s): Brian Witus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, John F. Burns
Hearing Site: Detroit, MI
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