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FINRA Awards for Bernard J. McGuire

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0385506/27/2013Claimant(s): Darius Saib
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): LIoyd B. Chinn
Arbitrator(s): Howard J. Stiefel, Carole L. Green, Bernard J. McGuire
Hearing Site: New York, NY
05-0206201/29/2009Claimant(s): Frank Wallace
Claimant Lawyers(s): Joseph P. Baratta
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James E. Howard, Bernard J. McGuire, George T. Hirai
Hearing Site: New York, NY

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