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FINRA Awards for UBS Financial Services Inc.

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Displaying 191-200 out of 991 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0261407/03/2023Claimant(s): Rocio Rivera
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
22-0272306/28/2023Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
22-0147506/27/2023Claimant(s): Thomas Pollock
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Laurie A. Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
22-0223206/27/2023Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
22-0266206/23/2023Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
22-0157906/22/2023Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
23-0022506/15/2023Claimant(s): Eric Yamin
Claimant Lawyers(s): David E. Robbins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Madelyn A. Levy, Edward W. Morris, Gerald M. Levine
Hearing Site: New York, NY
19-0143106/14/2023Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Robert Cohen
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Mark Hammaren, Thomas M. Madden, Melinda George-Bristol
Hearing Site: New York, NY
22-0220505/22/2023Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
23-0056805/19/2023Claimant(s): Nancy Matta
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY

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