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FINRA Awards for Sean M. Sweeney

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0307908/17/2022Claimant(s): Andrew Hughes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Susanne J. Hollander, Charles Kahn, Jennifer Bruzas
Hearing Site: Milwaukee, WI
16-0324108/20/2018Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Jennifer L. Ciralsky
Respondent(s): Michael Kelly, Paul K Ramus, Todd Barden, Great Lakes Retirement Plan Consultants
Respondent Lawyers(s): Jennifer L. Ciralsky, Sean M. Sweeney
Arbitrator(s): Howard N. Rubin, Mark A. Frankel, Dennis M. Selby
Hearing Site: Milwaukee, WI

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