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FINRA Awards for James R. Stirn

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0014012/22/2020Claimant(s): John Laughlin Roth IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Portfolio Advisors Alliance
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): James R. Stirn
Hearing Site: Washington, DC
Checkmark Icon$15,000
13-0304805/13/2015Claimant(s): Yolanda Bauza
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn
Hearing Site: Washington, DC
Checkmark Icon$200,000

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