FINRA Awards for Dan A. Rosenbaum

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Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
08-00408	11/06/2008	Claimant(s): Ruth Farr Claimant Lawyers(s): William L. White Respondent(s): Wachovia Securities, Prudential Equity Group, UBS Services USA LLC Respondent Lawyers(s): Dan A. Rosenbaum, Demian J. Betz, Kenneth Fuchs Arbitrator(s): Richard W. Dissen Hearing Site: Pittsburgh, PA		$213
07-02676	09/24/2008	Claimant(s): Sophie Rothstein Claimant Lawyers(s): Edward Rothstein Respondent(s): Joel Chase, UBS Financial Services Inc., Richard Fitzburgh Respondent Lawyers(s): Dan A. Rosenbaum, Danl A. Rosenbaum Arbitrator(s): Vicki R. Lawrence, Sandra J. Mullings Hearing Site: New York, NY		$0
07-02834	04/15/2008	Claimant(s): Robert R. and Delores J. Gehrking Claimant Lawyers(s): Robert R. Gehrking Respondent(s): Piper Jaffray & Co., William Pritchard Respondent Lawyers(s): Dan A. Rosenbaum Arbitrator(s): P. J. Boylan Hearing Site: Milwaukee, WI		$213
06-02395	08/24/2007	Claimant(s): James Rusciano Claimant Lawyers(s): Larry Kars Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Michael Busco Respondent Lawyers(s): Dan A. Rosenbaum, David J. Butler Arbitrator(s): Cynthia A. DiMarco, Andrew H. Freund, Robert T. Costello Hearing Site: New York, NY		Stipulated Award and Expungement