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FINRA Awards for Alan Brookshire

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0006210/28/2019Claimant(s): Alan Brookshire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Olivia L. Jones
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
19-0017010/17/2019Claimant(s): Alan Brookshire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jason Alexander Diamond
Hearing Site: Charlotte, NC

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