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FINRA Awards for Bear

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0348404/27/2009Claimant(s): Bear, Stearns & Co. LLC
Claimant Lawyers(s): Gene L. Small
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Alain Leibman
Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser
Hearing Site: New York, NY
06-0449610/24/2007Claimant(s): Henry Stockman
Claimant Lawyers(s): William M. Ziering
Respondent(s): Bear, Stearns & Co. Inc.
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Paul F. Faberman, Kathryn J. Toronto, Homer L. Davis
Hearing Site: San Francisco, CA

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