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FINRA Awards for Cory Steven Fein

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0221309/07/2016Claimant(s): Cory Fein, Kathryn Kersh, Paula Ebow, Sylvia Vargas, Caddell & Chapman
Claimant Lawyers(s): Cory S. Fein
Respondent(s): UBS Financial Services Inc., Michael Karchmer
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
Checkmark IconExpungement
12-0290406/16/2014Claimant(s): Barbara Minahan, JLM Partnership
Claimant Lawyers(s): Augustine Rivera
Respondent(s): Charles Wilde, UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Thomas D. Nagle, Malcolm Edwin Whittaker, Cory Steven Fein
Hearing Site: Houston, TX
Checkmark IconExpungement

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