FINRA Awards for Amy B. Bard

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Displaying 11-13 out of 13 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
11-02740	11/01/2012	Claimant(s): Wanda L. Lombardo Rev. Trust Claimant Lawyers(s): David P. Meyer Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Amy B. Bard Arbitrator(s): Charles H. Maguire, Charles D. Underwood, Stephen P. Calardo Hearing Site: Cincinnati, OH		Expungement
09-06361	05/17/2012	Claimant(s): The Estate of George T. Arns, The Arns Family Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P. Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth Hearing Site: New York, NY		Expungement