In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2011, Claimant UBS asserted breach of contract and unjust enrichment in connection with Claimant Potenza’s alleged failure to pay the balances on promissory notes dated May 7, 2004 and July 10, 2006 upon his termination of employment. UBS sought at least $129,542.40 in compensatory damages plus interest, costs, and expenses. In the Matter of the FINRA Arbitration Between UBS Financial Services, Inc., Claimant, vs. Alexander Potenza, Respondent (FINRA Arbitration 11-02124, February 12, 2013).