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FINRA Awards for John R Kiefner

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0021608/07/2014Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): John P. Cullem, John R Kiefner, Oliver J. Janney
Hearing Site: Tampa, FL
08-0414711/12/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Michael Fels
Respondent Lawyers(s): Michael Fels
Arbitrator(s): John R Kiefner, Paul L. Matecki, Karen Fancher
Hearing Site: Clearwater, FL
08-0123809/11/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): D. Daxton White
Respondent(s): James Fournace
Respondent Lawyers(s): James A. Fournace
Arbitrator(s): John R Kiefner, Mimi B. Osiason, William Hugh Nenninger
Hearing Site: Tampa, FL

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