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FINRA Awards for UBS Financial Services Inc. of PR

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0301305/14/2014Claimant(s): David Lugo
Claimant Lawyers(s): Roberto Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Nancy J. Cliff, Jerrold Levine, John H. Claudy
Hearing Site: San Juan, PR

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