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FINRA Awards for Kevin Joseph Pilon

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0203701/03/2018Claimant(s): Michael Sexton
Claimant Lawyers(s): John D. Singer
Respondent(s): Brett Grimes
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, H. Stuart Waxman
Hearing Site: Los Angeles, CA
16-0194612/06/2017Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha W. Mahoney
Arbitrator(s): Robert E. Jenks, Pamela Jane Koslow, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
13-0357607/08/2015Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Ken M. Fitzgerald
Respondent(s): James Wohlford, Penney Sick
Respondent Lawyers(s): D. Greg Durbin, Ken M. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, Ethan Joseph Brown
Hearing Site: Los Angeles, CA

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