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FINRA Awards for Carlos Pou

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0131711/09/2011Claimant(s): Jose G. Flores & Gladys Aponte
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Carlos Pou, Jeffrey Lopez, UBS Financial Services Inc., BBVA Securities Of Puerto Rico., UBS Financial Services Inc of PR
Respondent Lawyers(s): Anibal Lugo-Miranda, Debra A. Jenks, Roberto C. Quinones-Rivera
Arbitrator(s): Robert H. Hagan, Nancy J. Cliff, Todd M. Saunders
Hearing Site: San Juan, PR
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