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FINRA Awards for Cathleen M. Cobb

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0231107/20/2017Claimant(s): Jason Hallmark
Claimant Lawyers(s): Jason Hallmark
Respondent(s): John Rukenbrod
Respondent Lawyers(s): Gregory D. Seeley
Arbitrator(s): Cathleen M. Cobb, Robert Rosen, Marie Ann Stein
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0553608/11/2010Claimant(s): Alfred Davenport Jr., A.L. Davenport Trust
Claimant Lawyers(s): Robert L. Risley
Respondent(s): Bjorn Hauerbach, Donald Gorsch, Edward Tom, UBS Financial Services Inc., UBS
Respondent Lawyers(s): Corporate Officer, Neal S. Robb
Arbitrator(s): Theodore G. Bradpiece, Kenneth E. Owen, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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