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FINRA Awards for Pamela Mok

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0277612/02/2014Claimant(s): Pamela Mok, M.D. Roller IRA, M.D. SEP IRA, Paul Wood, Paul Wood and Pamela Mok
Claimant Lawyers(s): Paul A. Wood
Respondent(s): UBS Financial Services Inc., Maxwell Bardeen, Wyatt Larsen
Respondent Lawyers(s): Michael Torres
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
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