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FINRA Awards for UBS Financial Services Inc.

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Displaying 921-930 out of 991 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0514706/20/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Keith Anderson
Respondent Lawyers(s): Keith G. Anderson
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
10-0525406/17/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Hugh Blake-Thomas III
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
10-0525906/08/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Tom Krag
Respondent Lawyers(s): Kline Preston
Arbitrator(s): Jay R. Robinson
Hearing Site: Nashville, TN
10-0504106/03/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Joseph Bazbaz
Respondent Lawyers(s): Joseph Bazbaz
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
09-0722605/31/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Judith Stilz Ogden, Harvey R. Linder, William Clay Gilbert
Hearing Site: Atlanta, GA
09-0472105/27/2011Claimant(s): Guy Abbanat
Claimant Lawyers(s): James R. Hubbard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): G. Robert Abrams, Lawrence M. Green, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
10-0230405/27/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Swagger
Respondent Lawyers(s): Walter H. Flamm
Arbitrator(s): William M. Howard, Irving Mindes, Brian A. Maris
Hearing Site: Phoenix, AZ
10-0454905/27/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Frank Baudille
Respondent Lawyers(s): Frank David Baudille
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
10-0489105/20/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Charles Greco
Respondent Lawyers(s): Charles Vincent Greco
Arbitrator(s): Federico C. Alvarez
Hearing Site: Denver, CO
10-0504305/20/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Linda Lawson
Respondent Lawyers(s): Linda S. Lawson
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI

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