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FINRA Awards for Mark Rosenberg

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0130303/19/2019Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
18-0071302/14/2019Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, CIBC World Markets Corp.
Respondent Lawyers(s): Alan S. Brodherson, Elizabeth Rose Aylett
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
18-0076501/04/2019Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
18-0074110/18/2018Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA

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