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FINRA Awards for UBS Financial Services Inc.

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Displaying 331-340 out of 991 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0375107/29/2021Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Harold Harrison
Respondent Lawyers(s): Harold Walter Harrison
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
20-0420407/26/2021Claimant(s): Edgardo H. Ferrer
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
20-0200007/22/2021Claimant(s): Glen Ringwall, Mark Manion
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
21-0134107/22/2021Claimant(s): John Morris
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
20-0237607/19/2021Claimant(s): Debra Bushman
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Eric Goldman
Hearing Site: New York, NY
20-0319707/19/2021Claimant(s): David Ruckno
Claimant Lawyers(s): Mark Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Harvey R. Linder
Hearing Site: Columbia, SC
21-0000107/08/2021Claimant(s): Brian Rorick
Claimant Lawyers(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
20-0344007/06/2021Claimant(s): Andrew Ruboyianes
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Morris S. Getzels, Stephanie P. Lebhar, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
20-0275507/01/2021Claimant(s): Adam Bramson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Larry Evert Carlson
Hearing Site: Chicago, IL
21-0130007/01/2021Claimant(s): Drew Freides
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA

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