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FINRA Awards for Peter Thum

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0283808/12/2022Claimant(s): Peter Thum, Peter Thum ROTH IRA, Peter Thum Traditional IRA, The Peter Thum Rollover IRA
Claimant Lawyers(s): Peter Thum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lucienne Carasso Bulow, Elizabeth Gilbert, Sandra Holtzman
Hearing Site: New York, NY
Checkmark IconExpungement

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