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FINRA Awards for Theodore Israel Herold

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0122212/29/2014Claimant(s): Scott Notowitz
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Robert A. Sauerberg, Walter John Chesney, Theodore Israel Herold
Hearing Site: Boca Raton, FL
11-0269609/10/2012Claimant(s): Harris Fried
Claimant Lawyers(s): Harris S. Fried
Respondent(s): Edward Grimpe, James Chahine, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Theodore Israel Herold
Hearing Site: Boca Raton, FL

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