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FINRA Awards for UBS Financial Services Inc.

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Displaying 121-130 out of 991 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0263301/18/2024Claimant(s): Robert Procaccianti
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
23-0263701/11/2024Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Hunt Ricker
Respondent(s): Seth Horowitz
Respondent Lawyers(s): Seth Horowitz
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
23-0091501/09/2024Claimant(s): William Garity Medina
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
23-0100001/02/2024Claimant(s): Doel Garciaromero
Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Steven N. Ainbinder
Hearing Site: San Juan, PR
23-0121412/28/2023Claimant(s): Robert Karp
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
22-0204112/22/2023Claimant(s): Manuel Melendez
Claimant Lawyers(s): Debra A Jenks
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
22-0264012/21/2023Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y. Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
22-0258912/21/2023Claimant(s): Thomas Garity
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
23-0235212/19/2023Claimant(s): Wendy Holmes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
23-0112812/13/2023Claimant(s): Mark Durham
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kidder, Peabody & Co.orporated, UBS Financial Services Inc.
Respondent Lawyers(s): Corporate Office, John Murphy Esq.
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX

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