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FINRA Awards for James Mathieu

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0086911/06/2019Claimant(s): Marc Wolff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): James Mathieu
Hearing Site: Tampa, FL
18-0185107/08/2019Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Richard J. Fuller, Sharon Lee Chernin, James Mathieu
Hearing Site: Tampa, FL

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