| 08-02012 | 04/07/2010 | Claimant(s): Alva Thaning
Claimant Lawyers(s): James C. Bridgman
Respondent(s): UBS Financial Services Inc., UBS/Paine Webber, UBS/Paine Webber Partner's Plus
Respondent Lawyers(s): Walter M. Stella
Arbitrator(s): Herb Schwartz, Paul D. Gutierrez, M. Scott Donahey
Hearing Site: San Francisco, CA
| | |
| 08-02032 | 04/07/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Kevin Mathis
Respondent Lawyers(s): Kevin Mathis
Arbitrator(s): John Michael Watson, Daniel J. Pagnano, Juanita D. McKethan
Hearing Site: Houston, TX
| | |
| 08-01117 | 04/07/2010 | Claimant(s): Chase Enterprise Holdings, Cheryl Chase Family, DTC Family Investments, The Cheryl Anne Chase Grantor Trust, The Darland Trust
Claimant Lawyers(s): Richard P. Weinstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew R. Paul
Arbitrator(s): Bennett A. Hall, Jane Venckus Zirlis, William D. Stempel
Hearing Site: Hartford, CT
|  | $95,856 |
| 09-01187 | 04/07/2010 | Claimant(s): Richard and Barbara Danielewski
Claimant Lawyers(s): Harwell M. Darby
Respondent(s): Brecc Avellar, Avellar Advisors., Synergy Investment Group
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): George T. Baskerville, Janice L. Burnham, Donita M. King
Hearing Site: Richmond, VA
| | Stipulated Award and Expungement |
| 09-02905 | 04/07/2010 | Claimant(s): Carlo Robles, Cynthia Rivera-Figueroa
Claimant Lawyers(s): Juan Marques, Rafael E. Lugo-Sotomayor
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Alfredo Fernandez-Martinez
Arbitrator(s): Joseph J. Slotnik, Nicholas John Taldone, Stuart K. Furman
Hearing Site: San Juan, PR
| | $44,145 |
| 09-01591 | 04/07/2010 | Claimant(s): James Wortman
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Sovereign Advisers, Uvest Financial Services Group.
Respondent Lawyers(s): Lisa L. Tharpe, Sara B. Davis
Arbitrator(s): Zeb E. Barnhardt, William H. McCullough, Robert O. Belo
Hearing Site: Raleigh, NC
| | $0 |
| 07-02962 | 04/06/2010 | Claimant(s): Thomas Devere
Claimant Lawyers(s): Adam Palmer
Respondent(s): Peter McMullin, Robert Wasserman, Stephen Degroat, Empire Financial Group., Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Stan West, Karen Z. Fischer, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | |
| 08-03813 | 04/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Brian Prost
Respondent Lawyers(s): Brian E. Prost
Arbitrator(s): Bernard S. Carrey, Oscar W. Carlson, Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 09-02476 | 04/06/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): David Frand
Respondent Lawyers(s): David N. Frand
Arbitrator(s): Theodore Kimelman
Hearing Site: Boca Raton, FL
| | |
| 09-04157 | 04/06/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Thomas Doyle Blum
Hearing Site: Charlotte, NC
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