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FINRA Awards for UBS Financial Services Inc.

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Displaying 361-370 out of 991 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0234804/16/2021Claimant(s): Mark Martiak
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
20-0316604/16/2021Claimant(s): Sharon Paul
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
20-0254504/14/2021Claimant(s): John Caroli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
19-0365204/13/2021Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
20-0256104/01/2021Claimant(s): Bertin Stuckart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
20-0289104/01/2021Claimant(s): Eric Haubert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
17-0311503/22/2021Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Joseph Modero
Respondent Lawyers(s): Jenice L. Malecki
Arbitrator(s): Michael H DuBoff, Eric Moss Stein, Judith B Weinstock
Hearing Site: Jersey City, NJ
20-0322103/18/2021Claimant(s): Angus Miller
Claimant Lawyers(s): Sarah Yates
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
20-0243703/17/2021Claimant(s): Peter McColgan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Stephen P. Calardo
Hearing Site: Cincinnati, OH
20-0076703/15/2021Claimant(s): Matthew Sotland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Kevin R. Zehe
Hearing Site: Buffalo, NY

991 Results

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