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FINRA Awards for Philip Sloan

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0317408/02/2013Claimant(s): Joseph Polimeni
Claimant Lawyers(s): Franics R. Ortiz
Respondent(s): Philip Sloan, UBS Paine Webber.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Marvin I. Horowitz, Susan L. Currier, Martin I. Reisig
Hearing Site: Detroit, MI
Checkmark IconExpungement
11-0231211/15/2011Claimant(s): James Thomas
Claimant Lawyers(s): James J. Thomas
Respondent(s): John Swegles, Philip Sloan
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
Checkmark Icon$2,325

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