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FINRA Awards for UBS Financial Services Inc.

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Displaying 931-940 out of 991 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0535705/20/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark T. Carberry
Respondent(s): Jessica Shaughnessy
Respondent Lawyers(s): Robert G. Clyne
Arbitrator(s): Franklin P. Chapman
Hearing Site: New York, NY
10-0504505/19/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alma Alcoser
Respondent Lawyers(s): Freddy B. Ruiz
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
10-0231005/18/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Aylmer
Respondent Lawyers(s): Thomas C. Aylmer
Arbitrator(s): Mary Beth Wheeler
Hearing Site: Chicago, IL
08-0379005/10/2011Claimant(s): Charles Churchill
Claimant Lawyers(s): Richard J. Braun
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley
Hearing Site: New York, NY
10-0317705/09/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): David Baum
Respondent Lawyers(s): John H. Peavy
Arbitrator(s): Frank W. Virgin, Cheryl A. Hooks, John F. O'Neill
Hearing Site: Atlanta, GA
10-0513205/09/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Maehl
Respondent Lawyers(s): Michael Maehl
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
10-0476805/05/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Tolstoi
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
09-0722904/21/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): David Pressly
Respondent Lawyers(s): David Pressly
Arbitrator(s): David M. Snyder, Karla Y. Vogel, Reid P. Conklin
Hearing Site: Atlanta, GA
10-0205204/12/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Greg Harmon
Respondent Lawyers(s): Greg W. Harmon
Arbitrator(s): Nicholas John Taldone
Hearing Site: Orlando, FL
10-0412503/24/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Shawn Sullivan
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): David Love
Hearing Site: Boston, MA

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