FINRA Awards for UBS Securities LLC

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Displaying 31-34 out of 34 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
08-04786	02/16/2010	Claimant(s): Christopher Cohn, Laurens Rhinelander, Simon Lewis Claimant Lawyers(s): Erwin Shustak Respondent(s): UBS Securities LLC, UBS Financial Services Inc. Respondent Lawyers(s): Andrew J. Ceresney Arbitrator(s): Anatoly "Tony" Zuban, Deanna Margaret Veitia, Michael D. Briggs Hearing Site: San Diego, CA
09-02568	02/09/2010	Claimant(s): Jatin Suryawanshi, Partha Sarkar, Sanjay Girdhar Claimant Lawyers(s): Lance J. Gotko Respondent(s): UBS Securities LLC, UBS AG Respondent Lawyers(s): Claire L. Huene Arbitrator(s): Vicki Z. Holleman, Dorothy E. Morris, Gerald Guttman Hearing Site: New York, NY
07-03484	04/27/2009	Claimant(s): Bear, Stearns & Co. LLC Claimant Lawyers(s): Gene L. Small Respondent(s): UBS Securities LLC Respondent Lawyers(s): Alain Leibman Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser Hearing Site: New York, NY
07-03439	07/02/2008	Claimant(s): James Kelly Claimant Lawyers(s): Partha P. Chattoraj Respondent(s): UBS Securities LLC Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Dennis C. Cronin, David S. Billet, Madelon M. Rosenfeld Hearing Site: New York, NY