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FINRA Awards for Caroline K. Hall

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0191706/02/2014Claimant(s): Marcia Mossack
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Caroline K. Hall
Arbitrator(s): Linda J. Baer, Kumar Atmakuri Ram, Martin Deignan Dehler
Hearing Site: New York, NY
Checkmark IconExpungement
12-0152809/23/2013Claimant(s): Steven Barbeau, Steven P. Barbeau IRA
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Caroline K. Hall
Arbitrator(s): Susan L. Walker, Mark A. Frankel, Dennis M. Selby
Hearing Site: Milwaukee, WI
Checkmark IconExpungement

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