FINRA Awards for William McC. Montgomery

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Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-01025	12/15/2014	Claimant(s): Grant Gochin Claimant Lawyers(s): Seth E. Lipner Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, Daniel R. Brush Hearing Site: Los Angeles, CA
13-03389	06/12/2014	Claimant(s): UBS Financial Services Inc., Mark Fasano Claimant Lawyers(s): William McC. Montgomery Respondent(s): James Floyd, Mary Floyd Respondent Lawyers(s): Jacob H. Zamansky Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn Hearing Site: Los Angeles, CA		Expungement
13-03153	05/29/2014	Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano Claimant Lawyers(s): William McC. Montgomery Respondent(s): Fred Mandell Respondent Lawyers(s): Jonathan W. Evans Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis Hearing Site: Los Angeles, CA		Expungement
13-02889	05/01/2014	Claimant(s): UBS Financial Services Inc., Mark Fasano Claimant Lawyers(s): William McC. Montgomery Respondent(s): Richard Doretti Respondent Lawyers(s): Jacob H. Zamansky Arbitrator(s): Gary Timothy Haight, Christine A. Page, John B. La Rue Hearing Site: Los Angeles, CA		Expungement