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FINRA Awards for Unionbanc Investment Services

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0233404/08/2022Claimant(s): Vu Nguyen
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services., Wells Fargo Investments, Countrywide Investment Services., Unionbanc Investment Services
Respondent Lawyers(s): Howard M. Klausmeier, Laura A. Pizzitola, Neal S. Robb, Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
20-0059801/14/2022Claimant(s): Austin Park
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neil Katsuyama
Arbitrator(s): George Herman Frisch, Jean Chung, Ronald Grzywinski
Hearing Site: Los Angeles, CA
11-0462308/07/2014Claimant(s): Justin Miller
Claimant Lawyers(s): Marie Mirch
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Ralph A. Cotton, Bradley C. Mitchell, Carol Ann Jensen
Hearing Site: San Francisco, CA

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