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FINRA Awards for UBS International Inc.

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0187403/16/2022Claimant(s): Javier Garcia
Claimant Lawyers(s): Javier Garcia
Respondent(s): UBS International Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): William Kent Brown, Virginia Lee Perez-Berry, Scott Joseph Pagano
Hearing Site: Boca Raton, FL
16-0197902/03/2017Claimant(s): Veronica Lopez-Lopez
Claimant Lawyers(s): Benjamin J . Biard
Respondent(s): UBS International Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Jonathan H. Parker, Barry David Thorpe, Jeanne Charles Wood
Hearing Site: Miami, FL
Expungement

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