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FINRA Awards for Irving Mindes

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0230405/27/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Swagger
Respondent Lawyers(s): Walter H. Flamm
Arbitrator(s): William M. Howard, Irving Mindes, Brian A. Maris
Hearing Site: Phoenix, AZ
08-0414811/10/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Donald B. Wallace
Respondent(s): Charles Buckhannon
Respondent Lawyers(s): Rosemary Cook
Arbitrator(s): George N. Roy, Irving Mindes, Marc Kalish
Hearing Site: Phoenix, AZ

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