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FINRA Awards for Humbert A. Michini

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0228311/22/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Humbert Michini
Respondent Lawyers(s): Humbert A. Michini
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
10-0379807/29/2011Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Humbert Michini
Respondent Lawyers(s): Humbert A. Michini
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA

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