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FINRA Awards for Neal S. Robb

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Displaying 11-15 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0301204/23/2019Claimant(s): Martin Schroeder
Claimant Lawyers(s): Martin Lee Schroeder
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Jeffry M. Bauer, Anthony J. Bove, Michael James Malone
Hearing Site: Detroit, MI
18-0247602/08/2019Claimant(s): Ryan Gordon
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
18-0140012/31/2018Claimant(s): Gordon Chen, Nhut Anh Dang
Claimant Lawyers(s): Neal S. Robb
Respondent(s): Kai Lee
Respondent Lawyers(s): Kai Lee
Arbitrator(s): Robert D. Sussin, Cathleen M. Cobb, Rahsan Malik Boykin
Hearing Site: Los Angeles, CA
17-0347108/13/2018Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Ann C. McCague, Neal S. Robb
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
17-0308306/26/2018Claimant(s): John Adams
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA

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