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FINRA Awards for Daniel H. Yaffe

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0139906/08/2022Claimant(s): Dana King
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): LPL Financial LLC, Bryan Shevak
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nancy J. Cliff, Daniel H. Yaffe, Gloria O. North
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
13-0353006/25/2015Claimant(s): Oscar Zuniga
Claimant Lawyers(s): Harold Vicente-Colon
Respondent(s): Carlos Ubinas Taylor, Doel Garciaromero, Jose Crescioni, UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Carlos A. Valldejuly-Sastre, Joelle Simms, Leslie Y. Flores-Rodriguez, Mauricio O. Muniz-Luciano, Roberto C. Quinones
Arbitrator(s): Daniel H. Yaffe, Barry David Thorpe, Harry G. Mason
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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