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FINRA Awards for Mark Klein

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0197303/06/2014Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
Expungement

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