FINRA Awards for William M. Koziol

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-01256	02/19/2013	Claimant(s): Carol Seaton, Carol A. Seaton IRA Claimant Lawyers(s): Paul D. Malmfeldt Respondent(s): UBS Financial Services Inc., Richard Judd Respondent Lawyers(s): Amy B. Bard, Eric D. Brandfonbrener Arbitrator(s): William M. Koziol, Mary Beth Wheeler, Philip J. Glick Hearing Site: Chicago, IL		Expungement
10-05035	04/27/2012	Claimant(s): Robert Gaynor, Custodial Or Education Savings Acct, Robert S. Gaynor IRA, Robert S. Gaynor Special Account Claimant Lawyers(s): D. Daxton White Respondent(s): Morgan Stanley Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): William M. Koziol, Philip J. Glick, Michael R. Sherwin Hearing Site: Chicago, IL		Expungement
09-06207	05/04/2011	Claimant(s): Mary E. Wright Trust Claimant Lawyers(s): Paul J. Sussman Respondent(s): Credit Suisse First Boston LLC Respondent Lawyers(s): Matthew N. Thibaut Arbitrator(s): William M. Koziol, Michael R. Sherwin, Loren H. Newman Hearing Site: Chicago, IL		Stipulated Award and Expungement