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FINRA Awards for Robert A. Uhl

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Displaying 10 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0032206/27/2019Claimant(s): Veronika Voss
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brittany Sokoloff
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
Checkmark Icon$0
12-0175307/02/2013Claimant(s): Christianne Meier
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Patrick DiGiacomo, Newport Coast Securities.
Respondent Lawyers(s): Dan A. Druz
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
Checkmark Icon$45,860
11-0075306/15/2012Claimant(s): William Heinzerling
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Romaine L. Gardner, Abigail J. Pessen, Maya Steinitz
Hearing Site: New York, NY
Checkmark Icon$0
11-0121804/05/2012Claimant(s): Robert Olson
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Michael Finnan, Paul Metz, Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Peter Dolan, Richard D. Pollan
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
Checkmark Icon$45,000
10-0485103/01/2012Claimant(s): Susan Jenkins
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Crowell, Weedon & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Robert J. Ruben
Hearing Site: Los Angeles, CA
Checkmark Icon$35,513
09-0649307/13/2011Claimant(s): Richard Orkin, DOCSI LLC, f/k/a DOCSI Corp., The DOCSI Corp. PSP dtd 09/01/91, The DOCSI Corp. Profit Sharing Plan
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Steven Gourley, Gerald C. Tambe, Daniel David Kopman
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0329704/11/2011Claimant(s): Gerald Hosier, Jerry Jr., Brush Creek Capital LLC, Gerald D. Hosier UAD 10/04/99
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Malcolm T. Cleland, Marc H. Schtul, Patricia Mary Vondra
Hearing Site: Denver, CO
Checkmark Icon$54,106,000
10-0116801/19/2011Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0477301/04/2011Claimant(s): Rhoda Seidler Revocable Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Elizabeth H Lindh
Arbitrator(s): Melvin S. Feldman, Richard William DeWeese, Willard H. Altman
Hearing Site: Los Angeles, CA
Checkmark Icon$208,000
09-0133812/13/2010Claimant(s): Karin Paridee-Beard, Ronald Beard, Beard Living Trust dtd 3/30/1999
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Richard J. Stall, David W. Dresnick, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
Checkmark Icon$336,270

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