Potomac Analytics' Logo

FINRA Awards for UBS Financial Services Inc.

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 981-990 out of 991 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0360312/30/2008Claimant(s): James Apostle
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John J. Lynch, Louis H. Miron, Edward W. Morris
Hearing Site: Newark, NJ
07-0214911/12/2008Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Carl Anderson
Respondent Lawyers(s): Carl J. Anderson
Arbitrator(s): Henry Ott-Hansen, Michael D. Neft, Robert G. Conway
Hearing Site: Pittsburgh, PA
07-0354510/17/2008Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Joshua Fortin
Respondent Lawyers(s): Joshua Standish Fortin
Arbitrator(s): Robert P. Fogarty, Patrick J. Burley, Daniel R. LaMacchia
Hearing Site: Cincinnati, OH
07-0281607/31/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc., Michael Fisher
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Edward Baer, Carol E. Weir, John N. Polakas
Hearing Site: New York, NY
05-0052907/02/2008Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Sandra Grannum
Respondent(s): Christopher Becker
Respondent Lawyers(s): Christopher W. Becker
Arbitrator(s): Theodore Moreines, Nathan J. Minucci, Robert J. Gorgia
Hearing Site: Newark, NJ
07-0091105/01/2008Claimant(s): C. Buonassisi
Claimant Lawyers(s): Patrick J Burns
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ben W. White
Arbitrator(s): Herb Schwartz, Colleen C. Hammer, Timothy P. Bogan
Hearing Site: San Francisco, CA
07-0228104/18/2008Claimant(s): Paul Roupinian
Claimant Lawyers(s): Paul Edward Roupinian
Respondent(s): John Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): Theodore G. Bradpiece, Jerry Ellner, Steven J. Feldman
Hearing Site: Los Angeles, CA
07-0186203/27/2008Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Joel Griffin
Respondent Lawyers(s): Joel D. Griffin
Arbitrator(s): R. Theodore Moock
Hearing Site: Dallas, TX
07-0140412/10/2007Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jamie B. Kennedy
Respondent(s): Stephen Stroud
Respondent Lawyers(s): Stephen D. Stroud
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
06-0088011/26/2007Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX

991 Results

Display: