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FINRA Awards for Richard S. Herman

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0010103/17/2022Claimant(s): William Valle
Claimant Lawyers(s): William Isaac Valle
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Ellen J. Abrams, Richard S. Herman, Krista Fanning Kersey
Hearing Site: Boca Raton, FL
17-0089310/11/2017Claimant(s): Matthew Shafer
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David G. Pittinos, Richard S. Herman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL

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